Bangkok, October 9, 2014 - The SEC disclosed inappropriate behavior and suspended four securities investment consultants, then employees of Globlex Securities Company Limited, namely {A}, {B}, and {C

ซักซ้อมความเข้าใจเกี่ยวกับการให้บริการแก่ลูกค้าในการซื้อขายและการส่งมอบ/รับมอบสินค้า (physical delivery) ของสัญญาซื้อขายล่วงหน้าที่มีสินค้าเกษตรเป็นสินค้าอ้างอิง ("สินค้าเกษตรล่วงหน้า")

Delivery of copies of notifications and clarificatory notes to the cross-border offering of funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand

trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received

Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter    Executives of securities companies and personnel in securities business |- Approval and

such as setting the maximum number of employees per branch based on sales volume, issues a Leave Without Pay policy, and controls the costs associated with rent by requesting a rent reduction to the

system, and arrange for such personnel to perform their functions in accordance with the established policy and procedures by meeting the following criteria: (1) educate all employees and contractors on IT

arrange for such personnel to perform their functions in accordance with the established policy and procedures by meeting the following criteria: (1) educate all employees and contractors on IT security

million or 17.37% from the same period of previous year. This was due to decrease in the delivery of pre-stressed concrete piles and post-tensioned. However, the delivery of glass-fiber reinforced concrete

{C}, a securities investment consultant. They were employees of Country Group Securities PCL while the misconduct occurred. Following the complaint filed with the SEC and the complaint inspection