failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory
revealing or informing material information likely to affect investor?s interests was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC
trading orders once the prices match the target. Obtaining authorization to make derivatives and securities trading decisions on behalf of clients was in violation of the Notifications of Capital Market
orders where the purchase were initially paid by her family's money and later by her own money.Using client's account to trade securities for her own benefits was in violation to the Notifications of
behalf of clients were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved
behalf of client and seeking benefits from the client during the performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market
ห่างทางกายภาพ (physical distancing) เพื่อช่วยลดและยับยั้งการแพร่ระบาดของโรคติดเชื้อไวรัสโคโรนา 2019 (COVID-19)การอมรมทางออนไลน์ครั้งนี้ จัดขึ้นเพื่อเป็นการส่งเสริมและสนับสนุนให้ผู้ประกอบธุรกิจในตลาดทุนมี
discussion among panelists who have physical engagement at United Kingdom, United States of America and Singapore, and participants can visit the exhibition booths using online digital platform called “Online
physical asset delivery. The solicitation messages are translated into Thai and other languages. In the case of the Facebook accounts Pimnara Poonsawat and Befaii Suwinya, the public is solicited to send
procedures to determine the validity of such service providing was found. In case of another company, his observation and random count of physical inventories found discrepancy between the outstanding balance