First application and website: www.sec.or.th/licensecheck. Further inquiries and signs of suspicious activities can be sent for fact-finding to the “SEC Help Center” via telephone hotline 1207 or SEC
orders. Following a report on client's complaint filed by Country Group Securities PLC., the SEC probed into the case and found that {A} sent trading orders from the client's securities trading account
). With the referral from the Stock Exchange of Thailand on irregular trading of UNIQ shares as a result of trading orders sent via two overseas omnibus accounts causing the changes of UNIQ share price and
on the client's behalf. The communication record showed that {B} sent trading orders and afterwards informed the client who did not reject the transactions. The record also proved that he did not
specified by the tender offer rules, Bee on January 27, 2014 sent the SEC a letter explaining his purchase of EIC shares to the Sub-Committee on Business Takeovers .The fact that Bee sold all 1,017,500 EIC
several days. When the client ordered to sell the securities actually sold by {A}, he instead sent the selling order for other securities of the client. {A} admitted that job stress caused him to decide to
informed of derivatives price ranges in advance and when the prices moved within the ranges, {A} then executed trading orders. She sometimes sent trading orders and informed the client afterwards. {A
account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities
Directors approves. 3. Allow the buyer to make an acceptance letter in accordance with no.1 and no.2 (above) as a response letter sent to the company within 7 days from the receiving date. If the buyer does