Financial Statement สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 21 September 2023 20:30 ​ ​ Financial Statement Finanacial Statements ( 26 record(s) found) Name Year Status Type

Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities

Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record

(New) Initial Public Offering : Equity (by issue) ( 11 record(s) found) No. Report Name Data File As of Data Definition 1 Initial Public Offering : Equity (by issue) 2023   Click here to display all

report from Phatra Securities Plc. that {A} failed to record many securities trading orders of his clients. {A} admitted that he took such trading orders via mobile phone.Failure to record client's

Bangkok, August 17, 2012 - The SEC imposed administrative sanction on seven investment consultants for their failure to record clients' securities or derivatives trading orders by suspending one

Licenses ( 4 record(s) found) No. Report Name Data File As of Data Definition 1 Numbers of Companies Holding Securities Business, Derivatives Business Licenses ,Trustee Business and Digital Asset Business

record clients' trading orders, the SEC probed into the case and found that both investment consultants, several times, did not record clients' orders. {A} and {B} claimed that they received clients

was imposed on {B} for failing to record the clients' securities trading orders.The actions resulted in suspensions occurred while these investment consultants worked with Maybank Kim Eng Securities

policy(2) Preparing consent forms(3) Selecting and implementing appropriate security safeguards such as access control(4) Producing and managing “Record of Processing Activities (ROP)” that will used to