Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection
") during July 2010. Additionally, evidence indicated that there were other persons involved in the scheme as follows: (1) Pataman Buranasin had colluded with Shine in manipulating prices of IRCP-W1
executives play a pivotal role in feeding information to analysts. Additionally, using the service provided by independent investment research company can be an alternative. ASCO also presented plan to enhance
improved include revisions of rules on management fees, information disclosure for investment decision, etc. Additionally, the SEC has been working on a number of projects for investor benefits in the long
. Besides, certain regulations will be revised to cope with systemic risks and volatility of capital flows. Additionally, supervision on offering of financial instruments will be reviewed to strike the right
society. Additionally, an investor data hub will provide comprehensive wealth management tools, functioning as a wealth aggregator for investors. Moreover, strengthening the role of domestic institutional
expenses incurred by the SEC. Additionally, they are each barred from serving as director or executive in securities issuing companies or securities companies, as summarized below: (1) Mr
ordinary shares is considered a transaction to a potential controlling person of the Company. Furthermore, the investor will have the rights to nominate a person to be a director for the Company, follow the
shares (SET and mai excluding proprietary trading) of Phatra Securities Plc. (PSEC) was 8.89%, increased from 7.32% in 1Q19, ranking 1st from total 38 brokers. Additionally, during 2Q19, TRIS Rating has
brokers. Additionally, during 2Q19, TRIS Rating has upgraded the company rating for the Bank and Phatra Securities to “A” from “A-”. The consolidated net profit for 2Q19 totaled Baht 1,471 million, an