trading orders.In case of {A}, the SEC received the report from Asia Plus Securities Plc. on investigation spurred from clients? complaint about {A}'s conducts. It was found that {A} had sent trading orders
services of securities firms. Vasant Thienhom, Deputy SEC Secretary-General said, ?The SEC found that some investors have solicited other investors and investing public, either verbally or through LINE as
Bangkok, May 18, 2011 ? SEC Secretary-General Thirachai Phuvanatnaranubala said after the Capital Market Supervisory Board's Meeting that the Board resolved to amend the underwriting rules and
Bangkok, May 18, 2011 ? SEC Secretary-General Thirachai Phuvanatnaranubala said after the Capital Market Supervisory Board?s Meeting that the Board resolved to amend the underwriting rules and
clients' assets. In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
investment consultant of Asia Plus Securities Plc. Following the report of Capital Nomura Securities Plc., the SEC probed into {A} case and found that he failed to record the client's securities trading
order or act duty resulting in Zipmex disseminated or certified statements that were materially misleading in regarding the trading price of digital assets, in such manner that is likely to have an impact
essential to establish regulations ensuring that Thai securities companies, under the supervision of the SEC, implement stringent processes and systems for screening and monitoring. This will ensure that