into the case and found conversation in the LINE Application that {A} traded securities for herself through the client?s securities trading account. During a certain period of time, she made a number of
Bangkok, September 5, 2011 - The SEC has suspended two investor contacts, (1) {A} for not taping the conversation made with client on trading orders and (2) {B} for interfering with client's assets
decisions on the client?s behalf. {A} claimed that the client was too busy to trade securities by himself and gave instruction on credit limits via the conversation in LINE application. {A} notified his
Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
Assistance (Addition) and Change of Company Director 28/10/2021 18:00 Interim omitted Dividend, Notification of Entering into a Connected Transaction Regarding the Receipt of Financial Assistance and Change of
แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like
through his client's account without evidence of client's orders. The SEC found out from the recorded conversation between {A} and the client, which showed that the client had entrusted {A} to send trading