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
different from the IFA?s opinion in that such modification is considered as the building repair in accordance with the order of the local authority, by virtue of Section 46 of Building Control Act B.E. 2522
executives of listed companies in Thailand for the duration of the legal proceedings. Meanwhile, the managerial authority over POLAR’s assets was transferred to the receiver of the Legal Execution
Authority (ESMA), and IOSCO APRC members from 19 agencies in 14 countries.SEC Secretary-General said: “Despite COVID-19, we remain committed to organize the EU-Asia Pacific Forum virtually for the first
known in the fund management industry and looking for the opportunities increasing the number of member countries in order to reach its full potential in the project. In addition, the working group of
the purpose of law enforcement according to the authority of the three agencies. This includes executing the case with the fined person in a criminal case in order to effectively seize property or