Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's
Bangkok, July 7, 2014 ? The SEC is seeking public comment on revisions of client assets report of securities companies and derivatives brokers to be applicable to commercial banks and life-insurance
Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
derivatives trading account. {A} admitted that he asked for internet trading account's username and password of a client who authorized him to use the account to trade derivatives trading for his own benefit
According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order
into the case and found that {A} submitted trading orders for EIC securities on the client's behalf, during the period of tender offer launched by such client. In so doing, {A} failed to inform the
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Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market
Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market
According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1