via internet trading accounts of the clients. In case of {B}, the SEC found that he failed to record a large number of clients' securities trading orders. {B} admitted to his employer that he took those
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
a number of orders via mobile phone. For {B}, the SEC probed into the case and found that she failed to keep complete record of a number of a client's securities trading orders and admitted that the
Bangkok, November 12, 2015 ? The SEC will continue its drive to promote financial literacy and investor education via the SEC Open Space multimedia exhibition at the SET in the City 2015.?This year
Chaowarit On 2 August 2019, PP Prime Public Company Limited (“PPPM”) published information through the Stock Exchange of Thailand’s ELCID ( Electronic Company Information Disclosure) system http
The Securities and Exchange Commission (SEC), through its Transparency Working Group, held a meeting to discuss measures for promoting organizational integrity and transparency in 2025. Mrs
consultation paper is available until October 7, 2013The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the
consultation paper is available until October 7, 2013 The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the