securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A
Bangkok, February 20, 2015 - The SEC suspended {A}, a securities investment consultant of Siam Commercial Bank Plc. (SCB), for failure to provide complete information or advice. In this case, he
ตลาดหลักทรัพย์ . Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete
orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such
business operator to clarify to investors with complete and correct information, or determine that any further advertisements or sales promotions proposed by the business operator will be required to obtain
รายงานการประชุมคณะกรรมการตรวจสอบ ครั้งที่ 4/2548 Ref.: SET-2017-026 December 22, 2017 Subject: Signing on the Memorandum of Understanding to Invest in Medical Service Business for Healthcare and
business sector. Therefore, the Regulatory Guillotine is an important scheme under SEC strategic plan (2020-2022). SEC will lessen its processes, procedures and document required for submission toward SEC
BIR program. The revision would accommodate the BOT’s market surveillance to acquire in-depth, complete, accurate and timely information on foreign bond investors’ behaviors. Such information would
passed a resolution requiring Bitkub to submit a rectification plan to the SEC and complete the rectification of the relevant problematic work systems within five days in the following areas: 1