trading orders via the phone with call recorder. Making securities trading decisions on behalf of client and failing to completely record client's securities trading orders were in violation of the Clauses

Thianthong, Vice President, Marketing, Commercial and Supply at the time of the offense, on account of failing to perform duties with responsibility, due care and loyalty as director or executive of

Asset Management Co., Ltd. failed to comply with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by failing to invest in debt instruments of which

Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional

' meeting to select new directors to run the business and try to solve IFEC problems urgently for the benefits of shareholders and the company.By failing to acknowledge the civil sanctions imposed by the

whose performance met the quality criteria but had been declined due to affiliation with audit firms failing to meet the requirement of four auditors at a minimum;           (3) Extending the period

/2023 Zipmex Company Limited Zipmex Company Limited ("Zipmex"), a digital asset exchange and a digital asset broker, has been failing to report a summary of the assignment of other persons to http

: (1) committing unfair practice regarding securities /digital assets trading (2) presenting a false statement or concealing material facts that should have been stated; (3) failing to perform duties as

SHARE : SEC suspends three investment consultants for failing to perform duties with responsibility Thursday 28 March 2019 | No. 34 / 2019 Bangkok, 28 March 2019 – The SEC has suspended approval of three

Dated 24/04/2023 Zipmex Company Limited Zipmex Company Limited ("Zipmex"), a digital asset exchange and a digital asset broker, has been failing to report a summary of the assignment of other persons to