Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to
client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s
worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent
SEC considers revising the regulations on the offering for sale of investment in shares held by listed companies or their subsidiaries in order that the shareholding can be conveniently
had to settle the purchase order before regular settlement period in order to avoid force selling. This action was considered that Wiroj failed to inform sufficient information by concealing important
purchase order before regular settlement period in order to avoid force selling. This action was considered that {A} failed to inform sufficient information by concealing important information that might
On 8 November 2023, JKN filed a petition for business rehabilitation with the Central Bankruptcy Court. The Court issued an order accepting the rehabilitation petition on the following day, resulting
subscription order of a client without contacting or giving advice to the client. She admitted having done so without providing details on the fund to the client. The SEC has therefore imposed a 40-day
companies via the SET on a regular basis, but also to make use of the auditor's report and the financial statements ("Key Audit Matter? or ?KAM") to support their investment decision-making. They should also