' trading orders via their mobile phones. In case of {C}, the SEC found that she did not record clients' trading orders completely, the SEC thus publicly disclosed her non-compliant performance and recorded

also admitted taking such trading orders via mobile phone.  In addition, some of his clients' trading orders showed the concurrent price and time of the securities traded or canceled.  Furthermore, the

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

shareholders’ equity in the financial statements for the latest financial year submitted to the SEC. In the case where a company fails to submit the financial statements for the latest financial year but

Facebook accounts are not licensed securities or derivatives business operators in Thailand. Investors are therefore advised to be careful with any investment solicitation of such entities because the

standards of conduct strictly applied in other countries. Trading securities on behalf of clients and inform them afterwards is not in accordance with ethics and professional standards and at times causes

Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the

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, 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

Bangkok, 27 March 2023 – As appeared in the news reports of certain news agencies and online media on 24 March 2023 that Zipmex Co. Ltd. (Zipmex) had not received investors’ payment for capital