into the communication records of {A} and her client and found that {A} had been authorized by her client to make derivatives trading decisions with high trading volumes. The client asked her to close

client.Following the report of DBS Vickers Securities (Thailand) Company Ltd., and a client complaint, the SEC probed into {A}'s case and found that she had been authorized by her client to make securities trading

Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from

for normal situations, business operators must receive the SEC’s prior approval. Hence, business operators requested more clarity as to which operational systems are required and a streamlined process

misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the

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

ปฏิบัติงานรับคำสั่งซื้อขายผลิตภัณฑ์ในตลาดทุนนอกสถานที่ทำการซึ่งรวมถึงการปฏิบัติงานจากที่บ้านได้ เพื่อรองรับความปกติใหม่ (New Normal) ก.ล.ต. จึงดำเนินการเปิดรับฟังความคิดเห็นหลักการและร่างประกาศ และได้นำความ

. TECHNOLOGIES PUBLIC COMPANY LIMITED Disclosure Business News ( 6 record(s) found) Date Time Heading Link 16/01/2023 17:28 The offering of newly issued ordinary shares of the Company on private placement basis