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คำที่มีความหมายหรือสะกดใกล้เคียง : uncle’s , uncles , Ambiguous Records , Ambiguous Archives , Vague Records

1 - 10 of 364 results

SEC sanctions four capital market personnel for incomplete trading order records

Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5315

SEC Thailand’s public hearing on proposed amendment to regulations regarding digital asset business operator’s records keeping.

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=990

SEC files a criminal complaint against seven KC executives and associates for dishonest acts, misappropriation of B/E sale money and consent to false accounting records

case also involves seeking unlawful gains and consenting to the omission of the B/E transaction records, which caused inaccurate preparation of KC accounting records. The aforesaid four executives are

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6914

SEC sanctions seven investment consultants/analysts

trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4725

SEC sanctions six investment consultants

behavior.On {A} case, her employer reported a complaint lodged by a client against {A}'s unauthorized trading of securities and derivatives. The SEC's further probe on the conversation records between the

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4740

List of Approved persons / Licensees

List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname Mr. CHATPONG WATANAJIRAJ Approval Type of approval Effective date Expiry date No records to

https://market.sec.or.th/public/orap/PersonProfile01.aspx?lang=en&personrunid=0000053387

List of Approved persons / Licensees

List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname น.ส. ชยุดา เจียรวนนท์ Approval Type of approval Effective date Expiry date No records to

https://market.sec.or.th/public/orap/PersonProfile01.aspx?lang=en&personrunid=0000084178

List of Approved persons / Licensees

List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname Mr. SIRIKHUN TRIWITTAYAKHUN Approval Type of approval Effective date Expiry date No records

https://market.sec.or.th/public/orap/PersonProfile01.aspx?lang=en&personrunid=0000143471

List of Approved persons / Licensees

List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname Mr. CHANAKUNT CHAIWATTANAWASU Approval Type of approval Effective date Expiry date No records

https://market.sec.or.th/public/orap/PersonProfile01.aspx?lang=en&personrunid=0000143473

List of Approved persons / Licensees

List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname Miss ATIKAN NIMMANTERDWONG Approval Type of approval Effective date Expiry date No records to

https://market.sec.or.th/public/orap/PersonProfile01.aspx?lang=en&personrunid=0000143474