Securities (Thailand) Plc., and revealed non-compliant performance of {C}, for not taping clients' trading orders. Following referral from the Stock Exchange of Thailand indicating that {A} and {B} failed to
Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012
trading orders when obtaining orders from clients. In this regard, the aforesaid actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re
auditor to do the special audit and showed no sign of progress. The SEC, therefore, will not extend deadline for THL?s special audit submission and will later take legal action against THL and responsible
amended Notification above has come into effect since 16 July 2021. ______________________ Remarks: * Notification of the Office of the Securities and Exchange Commission No. Sor Bor
Bangkok, June 8, 2012 - The SEC publicly disclosed inappropriate behavior of three investment consultants, namely, {A}, {B}, and {C}, for not taping clients' securities and derivatives trading orders
Bangkok, September 5, 2011 - The SEC has suspended two investor contacts, (1) {A} for not taping the conversation made with client on trading orders and (2) {B} for interfering with client's assets
clients. In this regard, the aforesaid actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business
Bangkok, January 21, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of OSK Securities (Thailand) PLC, for not taping her investment advice and client's
. 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