Banks; (2) Financial companies; (3) Securities companies which purchase investment units for proprietary trading, managing for private funds, or for management of investment schemes established under the
of Acquisitor/Dispositor Search by Date Transaction Date Published Date Date From To Reports on Acquisition or Disposition of Securities (Form 246-2) ( 2 record(s) found) Name of Securities
Issuer Name of Acquisitor/Dispositor Search by Date Transaction Date Published Date Date From To Reports on Acquisition or Disposition of Securities (Form 246-2) ( 2 record(s) found) Name of
, rules and regulations. The SEC therefore put him on probation, under the Point System, by recording and accumulating his demerits with four demerit points. The demerits will stay on the record for three
the period of three months, approximately. There was, however, no record of the client?s registration for the internet trading at the branch during such period. Atthapol admitted to Krungsri Securities
the company issuing the securities sold in the above transaction. Failure to conduct KYC/CDD process to verify and record the beneficial owner's identity, despite learning of such identity, was in
order or an action which results in the offence that the company operated digital asset exchange businesses without a license. The Court of Appeal adjudicated that the defendant was guilty under Section
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
with those given under the Notification of the Securities and Exchange Commission Re: Determination of Definitions in Notifications relating to Issuance and Offer for Sale of Debt Securities. "short-term