introduced customized financial services and innovations that provide greater customer convenience, speed and reliability with ever-greater consideration of consumer protection and customer privacy. Being
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
client and seeking benefits from the client during the performance of duties. From a report of Finansia Syrus Securities Plc, the SEC further probed into the case and found that Acting Sub-lieutenant
Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the
investigation, Sakkarin was found to have acted in the following manners: (1) Soliciting a client to buy shares on the NP/SP List for the purpose of averaging out the cost of shares in the client's portfolio
บญัชีซ้ือขายและการท าธุรกรรมออนไลน์ไดโ้ดยสะดวก (ease of onboarding) single https://www.sec.or.th/TH/Template3/Budget/2563/sec-budgetVSactual-strategy-2563-q3.pdf sec-budgetVSactual-strategy-2563-q4.pdf 49,374
บญัชีซ้ือขายและการท าธุรกรรมออนไลน์ไดโ้ดยสะดวก (ease of onboarding) single https://www.sec.or.th/TH/Template3/Budget/2563/sec-budgetVSactual-strategy-2563-q3.pdf sec-budgetVSactual-strategy-2563-q4.pdf 49,374
and adequate information in materiality for client?s investment decision making. Following a report on the client?s complaint filed by the Ministry of Finance, the SEC further probed into the case and
Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the
, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her