securities or derivatives, investors are advised to examine beforehand whether the solicitor is a legally approved or registered entity to prevent potential damage. The SEC list of licensed entities is
work systems to prevent the use or the seeking of benefits from the clients’ deposited assets regardless of whatever means. Zipmex is required to submit the results of its rectifications in all matters
, to prevent the offering price of the newly issued preferred shares of the Company offered via private placement, which the Board of Directors’ meeting No. 10/2017 had resolved to propose that the
SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in
prevent mutual funds from being exploited for any other benefit than those which ought to be obtained from the investment. At present, the number of investment units held by any person or any associated
client's damage. {A}'s misconduct was a failure to provide material information or warning statements to prevent investors? benefits from being compromised. He also failed to abide by professional ethics of
Following an inspection report from Bank of Ayudhya, a limited broker dealer and underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Vanatsavadee, securities investment
ensure business continuity and prevent damage caused by deficient information security ?Currently, operating business of listed companies no longer deals with economic prosperity alone. Rather, managing
10 years on account of deceiving several clients, falsifying documents, spending clients? money for his own interest, and using clients? trading accounts to trade securities for himself.Following a