Bangkok, March 18, 2015 ? The SEC suspended {A}, a securities investment consultant and a branch manager of Bangkok Bank Plc., for failure to inform the client of sufficient information which was

trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received

Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the

Bangkok, March 1, 2016 -  The SEC has suspended {A}, a securities investment consultant at Bangkok Bank PCL., for failing to inform a client of material information, which consequently incurred

Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

Bangkok, October 8, 2014 ? The SEC suspended Atthapol Klabklan, a capital market investment consultant of Krungsri Securities PLC., for trading securities on behalf of client.  Following a report

Facebook page Customer service or Facebook page Investment Path : Unlicensed securities and derivatives business (Disclosure Date : 16/05/2023)

know-your-customer requirement or e-KYC via online methods. The use of authentication and verification under the National Digital ID (NDID) system will make it convenient, quick and reliable to open

draft regulation on such technology for customer communication and service regarding securities business and futures contracts. The draft regulations would be imposed on both new and presently operating

on such technology for customer communication and service regarding securities and derivatives business. The draft regulations would be imposed on both existing and new operating business providers