instructions or the failure to give instructions which is a duty required to be performed. Later, TTCL submitted the rectified annual updated information statement for the year 2020 (Form 56-1) on 28 February
Board resulted from the instructions or the failure to give instructions which is a duty required to be performed. Later, APURE submitted the rectified the Form 56-1 One Report for the year 2022 on
period by the notification of the Securities and Exchange Commission resulted from the instructions or the failure to give instructions which is a duty required to be performed. SEC Act S.300 in
securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment Advisory or an Undertaking of
Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board
Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
knowledge sharing session on “Development and Framework for Technology Risk Control,” lectured by SEC executives. The occasion included a discussion on supervisory guidelines for technology risk control by
Sithi-Amnuai along with executives and representatives from 38 securities firms, held a joint meeting to discuss and exchange views on guidelines for building trust and confidence in the Thai capital