Headline: SEC has ordered YNP to amend its financial statements Quarter 3, 2010 and Yearly, 2010 Source: SEC Announcement Details Financial statements commands from the SEC Subject SEC has ordered
mobilization, corporate monitoring and accounting supervision. Prior to joining the SEC in 1992, she was an analyst at the Bank of Thailand.The SEC's new line of commands effective from 11 February 2019 is
) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A
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
accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts
three investor contacts (2) {B} for interfering with client's assets (3) {C} for sending inappropriate orders (4) {D} for failing to orderly keep the accounts of given advice and received derivatives
Bangkok, August 17, 2012 - The SEC imposed administrative sanction on seven investment consultants for their failure to record clients' securities or derivatives trading orders by suspending one
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
report from Phatra Securities Plc. that {A} failed to record many securities trading orders of his clients. {A} admitted that he took such trading orders via mobile phone.Failure to record client's
(1) driving the PK stock price upward, (2) obstructing others' purchase orders by placing orders at multiple price levels and (3) driving up the opening or the closing prices by placed orders