limited company or a listed company; (2) the required amount of a registered capital; (3) well-preparedness in work systems, financial status, control and good work practices; (4) no financial troubles
Saroj submitted securities trading orders before notifying a client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. Acting Sub-lieutenant Saroj
. Accordingly, there was no record of client's selling order.Making trading decisions of securities in the client's account without the client's order and not taping investment advices and client's orders were in
benefits from investors by abusing their duty performance no matter with or without clients? consent, and must not ask for or accept any special benefit other than what is properly earned from the securities
client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing
derivative warrant but did not inform the client of maturity date. In addition, there was no source of trading orders of her clients where {A} described that the clients submitted trading orders via mobile
client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. {A} admitted that the client allowed him to sell the securities in cases of making profit or
Bangkok, October 17, 2013 ? The SEC extended the submission date of the special audit report of Millcon Steel Plc. (MILL) until no later than October 31, 2013. Earlier, the SEC had ordered MILL to
Offering (“IPO”), which should have been disclosed in the registration statement and draft prospectus (“filing”). In addition, ETL submitted the minutes of the Board of Directors’ Meeting No. 6/2566, held on
Derivatives Act B.E. 2546 (2003). According to the SEC News Release No. 103/2012, the SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official informed the