accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts
for the company in Hong Kong SAR, who provides services of gold futures contracts trading. The company has managed to have marketing officers to call and solicit investors to invest and sent out the
resolves clearly specifying offer price with an advance notice sent at least 14 days prior through SETLink, and the meeting notice contains all required particulars in compliance with the Notification of the
According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading
seek unfair personal gains all over again. In addition, some of the investment consultants sent selling orders of investment units in the clients' accounts by counterfeiting unit sale documents, opening
including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic
derivatives fund managers being a financial institution regulated by other agencies; “electronic data” means data that are created, sent , received, stored or processed through electronic procedures
related https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9809 SEC advises listed companies to exercise care and caution before investing in digital assets On 17 September 2021, the SEC sent a circular