behavior.On {A} case, her employer reported a complaint lodged by a client against {A}'s unauthorized trading of securities and derivatives. The SEC's further probe on the conversation records between the
consultant.Thereafter, {D} told {F} and {G} to find a client to purchase the acquired PAO shares where {H}, another investment consultant, was brought into the picture. {H} then solicited and gave unprofessional advice
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to
Bangkok, January 23, 2012 - The SEC has revoked approval status of three investor contacts and suspended another for dishonest conducts and disclosure of client confidential information, effective
…………………………………………………… who is working for us has explained and informed the Client being Mr/Miss/Mrs/Company……………………………. …………………………….. so as to be aware of the risks relating to futures and/or options trading prior to opening
Thai Digital Assets AssociationMr. Kietisak Limpacharoenkul, Senior Vice President Client Network Management Department, Krungsri Securities https://www.sec.or.th/TH/Pages/News_Detail.aspx?SECID=10361
Boonsat, Director of the Thai Digital Assets AssociationMr. Kietisak Limpacharoenkul, Senior Vice President Client Network Management Department, Krungsri Securities https://www.sec.or.th/TH/Pages
Supervisory Board in accordance with Section 111/1 of the Securities and Exchange Act B.E. 2535 (1992) . “ client’s asset ” means an asset deemed to be owned by a client as https://publish.sec.or.th/nrs