. In addition, the acts mentioned above were assisted or facilitated by ten persons, including: trading partners and their authorized persons. This case is in the process of inquiry by the inquiry
. In addition, the acts mentioned above were assisted or facilitated by ten persons, including: trading partners and their authorized persons. This case is in the process of inquiry by the inquiry
. In addition, the acts mentioned above were assisted or facilitated by ten persons, including: trading partners and their authorized persons. This case is in the process of inquiry by the inquiry
EARTH. In addition, the acts mentioned above were assisted or facilitated by ten persons, including: trading partners and their authorized persons. This case is in the process of inquiry by the
operator.SEC is therefore considering excluding a business operator promulgating research analysis in the ten ASEAN countries from applying for investment advisor license provided that significant conditions
routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading
securities investment consultant, namely {E}, were suspended, effective from September 11, 2014.The SEC's routine inspection of RHB OSK Securities (Thailand) Plc., found that {B}, {C}, {D} and {E} had prepared
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
information technology to support the work-from-home routine. In the past, the rules allowed employees of business operators to perform duties from home only during emergency situations (under BCP plan), but
failure to record the client's securities trading orders. They were RHB OSK Securities (Thailand) Plc. (OSK Securities) employees.From a routine inspection of RHB OSK Securities (Thailand) Plc, the SEC