multi-factor authentication for the email account and the trading account of digital assets to reduce the risk of cyber attack on the accounts and passwords. Investors should also follow digital asset
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
in fact the company had already been listed and its shares were being on Suspension Trading (SP) sign. Moreover, he failed to give relevant documents to the client before the client decided to invest
Facebook page "Complete Coffee Business Amz." : Unlicensed securities and derivatives business (Disclosure Date : 17/11/2025)
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives
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The Civil Sanction Committee passed a resolution imposing a civil sanction on Surasak and Ekkamon in the case of insider trading of GLOBAL shares on 22 August 2012; however, both persons refused to
securities companies. In receiving these orders, Thai securities companies may not have complete information on the clients of the foreign securities companies and their trading behaviors. Therefore, it is