securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives
Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the
) Financial Literacy media under the theme, “Money Matters,” with video presentation and storybooks about the importance of money saving, the basics of personal finance, and how to keep track of incomes and
companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian
194 days. In this regard, Satang did not deposit customers' digital assets with digital asset depository service providers and keep them in http://market.sec.or.th/public/idisc/en/Enforce Settlement
with sufficient information to effectively monitor and assess risks in business operations and keep pace with current circumstances. Additionally, they would enhance trust and confidence among
(SETLink) to keep investors updated. Listed companies can submit a request for a deadline extension via email: corporat@sec.or.th or fundraisingpolicy@sec.or.th. For inquiries, please call Tel: 0-2033-9608