therefore imposed the following sanctions: (1) Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15
other property as specified in the notification of the SEC with the approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index https://www.sec.or.th
authorization. According to the conversation recorded, {B} had sent trading orders before notifying her client or sent out selling orders against of the client's instruction. {B} admitted that she had acted as
Sort by: Relevance Date (Newest) Date (Oldest) DRAFT , crude oil, or any other property as specified in the notification of the SEC with the approval of the Cabinet, excluding currencies. “variable
with the approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index https://www.sec.or.th/EN/Documents/ActandRoyalEnactment/Act/act-derivatives2003
authorization before beginning any other activity.The SEC therefore proposes to amend the rules governing the undertaking of other businesses according to the resolution of the Capital Market Supervisory Board
contact and assigned to work for the company. Such trader later sent several trading orders in the client's account without authorization or contrary to the client's orders, causing damage to the client