Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries
Clarification on Short Selling and Settlement of Securities for Management of Market Maker’s Risks Borne by Securities Companies and Management of Clients’ Assets In case of Internal Short.
Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension
Bangkok, 25 July 2022 – The Securities and Exchange Commission (SEC) has uploaded an information filing form specifically for the Zipmex Thailand case where its clients are affected by the company’s
from SCB Securities Co., Ltd. that {A} frequently failed to record her clients' securities trading orders. She then admitted that when orders had been executed completely from many of her clients, she
executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated that his misconducts on clients? assets involved
the delay in ownership transfer in a certain number of our customers and lockdown policy implemented in various countries causing difficulty for real estate foreign buyers to proceed the ownership
trading decisions on behalf of the clients, regardless of the client's permission or authorization. In this regard, {A}'s action was deemed as obtaining authorization from clients to make securities trading
marketing strategies in order to seek more non-hazardous waste put into the RDF process as well as to improve the sales planning by seeking more buyers such as cement factory, power plant etc. At present, the