According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading
According to the complaint handling report submitted by TMB and SEC’s further investigation, it was found that during August – September 2017, {D} and {A} jointly sold funds to a client. {D} forged
, the deposit and withdrawal system for money and digital assets , the client assets information system, the client contact and https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8748 SEC Thailand
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders
Public https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10129 SEC encourages utilization of NDID to facilitate the intermediaries and investors. by conducting the process of Know Your Client (KYC) so
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
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