Thai Reporting Resault of Sales of Securities × Home > กฎหมาย / กฎเกณฑ์ > สรุปกฎเกณฑ์ > การระดมทุน
found that {A} did not record a number for securities trading orders submitted for a number of clients. {A} admitted that he took trading orders via mobile phone.Failure to keep complete record of the
SEC Secretary-General Ruenvadee Suwanmongkol said: “The International Organization of Securities Commissions (IOSCO) has designated the World Investor Week 2019 during 30 September – 6 October to
-border investment opportunities for investors. “To promote development of cross-border products, SEC Thailand has put considerable efforts to revise rules and regulations related to DR issuance in
discussing with her client to fine-tune the deficit portfolio. At the end of the trading day, she notified her client via mobile telephone after working hours.Making securities trading decisions on behalf of
SATHORN ROAD, THUNGMAHAMEK SATHORN, BANGKOK 10120 PHONE : +66 (0) 2625 1188 FAX : +66 (0) 2625 1103 www.jubileediamond.co.th No. CS03/2019 February 22nd, 2019 Subject: Declaration of Operating Results for
SATHORN ROAD, THUNGMAHAMEK SATHORN, BANGKOK 10120 PHONE : +66 (0) 2625 1188 FAX : +66 (0) 2625 1103 www.jubileediamond.co.th No. CS08/2019 May 10th, 2019 Subject: Declaration of Operating Results for the
SATHORN ROAD, THUNGMAHAMEK SATHORN, BANGKOK 10120 PHONE : +66 (0) 2625 1188 FAX : +66 (0) 2625 1103 www.jubileediamond.co.th No. CS12/2019 November 7th, 2019 Subject: Declaration of Operating Results for
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for