orders sent through him for several days. {A} admitted that the securities trading orders were taken via mobile phone; the misconduct of which he had previously committed. In case of {B}, the SEC found
had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person
interested public are invited to submit their views and suggestions to the Investment Management Supervision Department via phone at 0-2695-9640 or email at chanont@sec.or.th.
regulations and consultation paper are available on the SEC website at www.sec.or.th. Stakeholders and interested parties from the public are welcome to submit comments through the website, through the phone
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
through the website, through the phone number 0-2263-6112, or email to corporat@sec.or.th until April 4, 2013.
Holding Company investing in retail business such as mobile phone distribution and accessories, non-performing debt management, real estate development, hire purchase (associated company), personal loan
applicant shall arrange a financial advisor, whose name appears in the SEC Office’s approved list, to jointly prepare an information in a notice calling for shareholder’s meeting in conforming to Clause 12
: Type of Business: __________________________ Head Office: __________________________________________________________________ Registration Number: Home Page (if any): ________________________ Telephone