orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such
from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his
เกี่ยวข้องกับคอร์รัปชัน (Anti-corruption Progress Indicator) ของบริษัทจดทะเบียนทั้งหมดในช่วงไตรมาส 3 ของปีนี้ ก.ล.ต. จะเปิดเผยดัชนีเดียวกันนี้ของ บล. และ บลจ. ทุกแห่ง ตั้งแต่ปี 2558 เป็นต้นไป เพื่อแสดงความคืบ
security as prescribed in the UNCITRAL Model Law and the World Bank’s Good Governance Guidelines, to support ease of getting credit (the 5th Indicator of the World Bank’s Doing Business Survey), to provide
ก.ล.ต. สนับสนุนสถาบันไทยพัฒน์ เผยผลตัวชี้วัดการประเมินความคืบหน้าในเรื่องการป้องกันการมีส่วนเกี่ยวข้องกับคอร์รัปชัน สำหรับบริษัทจดทะเบียน ไทย (Anti-corruption Progress Indicator) พบร้อยละ 60 ของ
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A
recording system for phone orders. Investor contacts, meanwhile, must take and keep complete and accurate information on their clients orders. And investors themselves must not ignore securities firms
from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management companies also appoint custodians approved by SEC to safely keep the assets of
. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies