report from Phatra Securities Plc. that {A} failed to record many securities trading orders of his clients. {A} admitted that he took such trading orders via mobile phone.Failure to record client's
of securities companies in many cases did not meet the criteria for granting general approval for registered capital reduction. Additionally, there were no criteria for granting general approval of
securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives
from SCB Securities Co., Ltd. that {A} frequently failed to record her clients' securities trading orders. She then admitted that when orders had been executed completely from many of her clients, she
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http://www.sevenup.co.th Tel. 0-2741-5700-5 / Fax 0-2741-6878 / Company Tax ID : 0107545000021 No. 7UP 049/62 September 18, 2019 Subject: Notification for Resolution of Board of Director's Meeting No. 11
http://www.sevenup.co.th Tel. 0-2741-5700-5 / Fax 0-2741-6878 / Company Tax ID : 0107545000021 No. 7UP 049/62 September 23, 2019 Subject: Notification for Resolution of Board of Director's Meeting No. 11