by not using knowledge and expertise as professional.In case of {B}, the SEC received a complaint from client of a brokerage firm that {B} had sent trading orders through client's account without
? former investor contact, {B}, had sent trading orders through the client's account without record and evidence of trading orders. His misconduct caused damage to the client and the firm dismissed him from
. {B}, an investor contact and branch manager of Siam City Securities Co., Ltd., is suspended and prohibited from performing duties as securities firm executive for two months on account of trading
เพื่อประโยชน์ที่ดีที่สุดของกองทุนรวมและผู้ถือหน่วยลงทุน หากไม่สามารถหาราคาแบบ firm quote จากนายหน้าซื้อขาย (dealer) อย่างน้อย 3 ราย ในการทำธุรกรรมการได้มาหรือจำหน่ายไปในตราสารหนี้ได้ตามข้อ 4.2 ส่วนที่ 4
“Company”) would like to provide the clarification on the business operation for the 2nd Quarter of the year 2017 ending 30 June 2017. Total Revenue The Company has the total revenue of Baht 128.10 million
etc. AFS has more expertise in such technologies and systems in Japan and thus AFS could provide the full support on new technologies to ASB Cambodia in the long run. Note: Exchange rate as of January
. In case of providing off-exchange derivatives brokerage service overseas, derivatives broker shall provide service related to derivatives as specified by the SEC Office only. Clause 3.2 Derivatives
, regarding to provide financial assistance for an amount of THB 15.99 million. The transaction volume of over THB 1 million but less than THB 20 million, or more than 0.03% but less than 3% of NTA, whichever
“Company”) would like to inform the resolution of the Board of Directors’ Meeting No. 19/2018 held on 21 December 2018 which has approved the Company to provide financial assistance to connected persons
(Thailand) Co., Ltd and ACS Capital Corporation Co., Ltd since September 1, 2019. By the FASSC unit, AEONTS will provide Finance and Accounting operation services to domestic and overseas subsidiaries. The