Securities and Exchange Commission which each type of customers may invest or possess. Clause 8. In case the customer wishes to put his or her property into the custody of the derivatives fund manager, the
depository receipts (DRs); and (3) Revising the definition of special debt to include other outstanding debts such as debts resulting from delayed payments for securities sale to customers as a result of an
) Board governance structure: Requiring DA operators – except DA advisors and the DA operators holding client assets at an amount less than 500 million baht and having less than 10,000 clients – to appoint
creating a comprehensive investment care service at a low cost. The service starts from (1) exploring and understanding customers, (2) constructing an investment portfolio, (3) implementing the portfolio
Eng Securities (Thailand) Plc. that {A} had been authorized by two clients to make securities trading decisions on their behalf. Before this matter was reported to the company, {A} had told her branch
intention to illegitimately seek benefits from client?s assets. Following the complaint filed by the clients of Siam City Securities Co., Ltd., and the company?s auditing report where numerous clients had
Merchant Partners? report on several investor complaints regarding Napasanan?s misconduct and the SEC?s further investigation which revealed that Napasanan had deceived her clients into securities trading
Group Public Company Limited (TAKUNI) and CCN-Tech Public Company Limited (CCN) securities, used nominee accounts to subscribe and receive allocated shares for patrons of such companies. Such conduct was
our new and existing customers. Unit : million Baht Jan - Sept 2020 % Jan - Sept 2019 % Change %YoY Sales and Services Revenues 382.82 99.4 250.79 99.6 132.03 52.6 Other income 2.33 0.6 0.94 0.4 1.39
&start=10&rows=10 11 - 20 of 39 results Sort by: Relevance Date (Newest) Date (Oldest) Criminal Complaint Filed with an Inquiry Official Dated 22/12/2020 ;BX") transferred digital assets of its customers