Bangkok, June 26, 2014 - The SEC suspended {A}, a former securities investment consultant of Capital Nomura Securities PLC., for trading securities on behalf of client. Following the report of
from KKTRADE Securities Company Limited, the SEC probed into {A}' s case and found that she had been authorized by her client to make securities trading decisions on the client?s behalf for a period of
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
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
Publication Document - ZIGA INNOVATION PUBLIC COMPANY LIMITED : ZIGA สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 01 April 2022 22:37 Publication Document Please enter search
Publication Document - ZIGA INNOVATION PUBLIC COMPANY LIMITED : ZIGA สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 28 August 2022 21:56 Publication Document Please enter search