lodged by client and examination report of RHB OSK Securities, the SEC further probed into the case and found that {A} traded securities on behalf of a client of {B}. {B} was a {A}'s subordinate and took
, resources management, and oversights of stakeholders, e.g., securities issuers, securities companies, asset management companies, the Stock Exchange of Thailand (SET), auditors and credit rating agencies, etc
required to set up an efficient complaint handling system in support of daily operation. Concurrently, the SEC employs a risk based approach to scheduled and/or random inspection as well as case-by-case
set at 8 baht per share is suitable because it was determined when AJP entered the MOUs with U Best and Media Agency on June 16, 2014. According to IFA report, under the MOUs, AJP placed cash collateral
Commercial Bank PLC. (SCB), the SEC further probed into the case and found that {A} signed the form of buy/sell order for investment units without performing duties as an investment consultant. The client
former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
Management, obtained CAC certifications. By the end of this year, all securities and asset management companies are expected to be certified and further details on progress will be disclosed.Apart from
side, executives of the Stock Exchange of Thailand (SET), Association of Thai Securities Companies (ASCO) and Association of Investment Management Companies (AIMC) met with Japanese financial
investment consultant, the SEC received complaints from several clients of Bualuang Securities Public Company Limited and conducted further investigation which revealed that {A}, a capital market investment
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