than what the customer could tolerate.In the case of {B}, who was a securities investment consultant at Thanachart Bank Public Company Limited (TBANK) at the time of misconduct, the SEC received a
facilitate respective payments. Since the account was opened, he continued trading securities through the client's account totaling trading value over B800 million in six months. As a result, {B} received a
investment consultant, the SEC received complaints from several clients of Bualuang Securities Public Company Limited and conducted further investigation which revealed that {A}, a capital market investment
for asset allocation advice. From the meeting, the SEC received useful comments and suggestions on regulatory issues, such as securities offering and selling agents, and the issues of financial literacy
accounts and documents, and also prepared incorrect accounts with intention to deceive others about those fraudulent actions.Previously, the SEC had received complaint concerning POWER-P?s suspicious
securities business without license.The SEC received complaints from several foreign residents that they had been solicited to use services and advice of the offenders to make investments and later suffered
investment consultant for a period of five months, effective from February 16, 2013In case of {B}, the SEC received a report from Finansia Syrus Securities Plc., that he had been authorized by his client to
. Network Co., Ltd., and (4) Pat Thamma, director of P.T. Research Co., Ltd., on account of operating derivatives business without license. The SEC received complaints indicating that the aforesaid five firms
TFEX?s officers and executives at all levels to seek an immediate clarification. The SEC received a preliminary explanation on the cause and later detail explanation and improvement measures. The SEC met
securities company (No. 2) dated 25 May 2004. Clause 2. In this Notification, “electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities