SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets, without or not complying
interest of most consumers. Due to the intensifying outbreak of COVID-19, After You has added more strategies in response to the changing situation as follows: Launching New Products to Serve Customers
similar period of time; (4) Placing, modifying, or cancelling a securities trading order during the pre-opening or pre-closing period of the Securities Exchange or the over-the-counter center, as the
committed an offense under Section 89/25*, for example, taking the assets of the juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening
juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening or falsifying documents. In addition, SEC has prescribed a procedure for
investors’ rights in alignment with the changing capital market ecosystem. The discussion included strengthening trust and confidence in the Thai capital market through the pursuit of class action lawsuits
COL securities via his nominee's securities account but failed to prepare and disclose report on changing in his holding (Form 59-2) to the SEC Office within the period specified in the
securities via her nominee's securities account but failed to prepare and disclose report on changing in her holding (Form 59-2) to the SEC Office within the period specified in the notification of the