the reason for urgency] phanchul Typewriter [Select here for next time, when informing SEC Account profile change] phanchul Typewriter [Input the Passport No. submitted to SEC previously] phanchul
) Clarifying the process where the Minister of Finance does not agree with the recommendation of the SEC Board regarding the application and setting out the process for informing the application result; (4
organizer in advance, informing them of these concerns before the event date.On 7 September 2024, the date of the event, the SEC conducted an on-site inspection and found that some exhibitors were engaging in
Securities Company Limited, had made trading orders before informing the client who did not make any objection and made payments for the trading transactions. The trading activities involved shares and
}, without informing the client, continued trading securities in an attempt to recover loss in this account. Also, it was found in the recorded conversation that {A} asked another client for permission to
of seeking the SEC?s approval.On February 1, 2013, the SEC issued a letter informing the DSI of the details of BTSGIF having investment policy to purchase the future net farebox revenue generated from
revealing or informing material information likely to affect investor?s interests was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC
her client to buy derivative warrant without informing the client of specific risk of securities, the securities? last trading date and maturity date. {A} admitted that she advised the client to buy
”3 means an analysis of various data relating to securities to be used in advising or disseminating, whether directly or indirectly, on the value of securities or the suitability of investing in such
securities; “analysis of investment in securities”3 means an analysis of various data relating to securities to be used in advising or disseminating, whether directly or indirectly, on the value of securities