respondents agreed with the principles and the proposed amendments to such regulations. The SEC has therefore issued the amendments* with the key points as follows:   (1) DA operators are required to keep

Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him

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

from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his

Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to

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

recording system for phone orders. Investor contacts, meanwhile, must take and keep complete and accurate information on their clients orders. And investors themselves must not ignore securities firms

) (7.2) (682%) (8.2) (587%) Net Profit/(Loss) from the period attribute to equity holders of the Company (53.0) (4.9) (982%) (3.5) (1,414%) For the nine-month ended 30 September 2017 NPP Consolidated PL

(1.3%) Total 283.2 292.6 (3.2%) 285.4 (0.8%) Gross Profit 57.0 65.9 (13.5%) 51.5 10.7% Net Profit/(Loss) for the year (47.7) (8.2) 481.7% (47.8) (0.2%) Net Profit/(Loss) from the period attribute to

(12.1%) 125.5 6.9% Total 287.5 301.2 (4.5%) 283.2 2.2% Gross Profit 59.8 64.1 (6.7%) 57.0 4.9% Net Profit/(Loss) for the year (51.2) (56.3) 9.1% (47.7) (7.3%) Net Profit/(Loss) from the period attribute