client accepted the proposed transactions. At the end of trading day, {A} notified the amount of money to be received or paid whereas the client did not reject or decline the transactions. In case of {B
Plain Investment Consultant
Bangkok, October 24, 2014 - The SEC suspended two capital market investment consultants namely {A}, a consultant of Bualuang Securities PLC., for trading securities on behalf of clients and {B}, a
Bangkok, March 13, 2015 - The SEC suspended two investment consultants of RHB OSK Securities (Thailand) Plc. {A}, a securities investment consultant, was suspended for trading securities on behalf of
Exchange Commission. Chapter 1 Application for Approval ______________________ Clause 4. Persons who obtain approval to be investor contact shall be divided into two categories which are Category A Investor
to be investor contact shall be divided into two categories which are Category A Investor Contact and Category B Investor Contact. Clause 4. The applicant for approval as category A investor contact
obtain approval to be investor contact shall be divided into two categories which are Category A Investor Contact and Category B Investor Contact. Clause 4. The applicant for approval as category A
obtain approval to be investor contact shall be divided into two categories which are Category A Investor Contact and Category B Investor Contact. Clause 4. The applicant for approval as category A
Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension
specified in the SEC Office Notification No. Sor Shor. 39/2553 to be in line with the current situation. The amendments aim to facilitate high potential auditors’ entry into the capital market to