derivatives trading activities after having accessed the EY information system which contained clients’ audited, but yet to be disclosed, draft financial statements under responsibility of the audit group under

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

orders; and (6) To require that securities companies establish a work system for post-trade monitoring and examining clients’ executed trading transactions through random inspections of potentially

Bangkok, December 27, 2012 - The SEC imposed a one-month suspension on three investment consultants of Phillip Securities (Thailand) Plc. for not taping clients? trading orders, effective from

phone and Line Application. However, the recorded conversation showed that she accepted to trade securities on behalf of clients.Failure to disclose specific risk  of securities and trading securities on

Viranuvatti, and club members, to discuss strategies for elevating the efficiency in the standards of post-trade services of investment management companies. Both parties also exchanged views on the roles of

Maybank Kim Eng Securities (Thailand) PLC, Chonburi branch,  for trading securities through clients' accounts for their own benefits and using non-financial institution loans. The SEC also suspended {E

ตามที่ปรากฏว่า Zipmex ยังไม่ได้เปิดให้มีการซื้อขายสินทรัพย์ดิจิทัลให้เป็นไปตามหลักเกณฑ์ เงื่อนไข และวิธีการในการซื้อขายสินทรัพย์ดิจิทัล (Trading rules) ของบริษัทตามที่ได้รับความเห็นชอบจากคณะกรรมการ

exchange services and wallet services at our BX.in.th website in order to focus on other business opportunities.This means that after September 30th 2019 all trading on the BX.in.th will be stopped…the

Mr. Somchai Chaisrichawla From September 13 to November 16, 2006, Mr. Somchai Chaisrichawla colluded with Miss Chaninan Luangwaykin in using Somchai’s and other persons’ securities trading accounts