capital market business for a period of 10 years, effective from 6 May 2020._______________________________ Note: * Pursuant to Clause 23(1) and the prohibited characteristics of
business for a period of 10 years, effective from 6 May 2020. _______________________________ Note: * Pursuant to Clause 23(1) and the prohibited characteristics of personnel in the
session. Besides, {A} admitted that she advised the client to sell the other securities to settle the buying order which the client agreed and asked her to submit the selling order via mobile phone
a number of orders via mobile phone. For {B}, the SEC probed into the case and found that she failed to keep complete record of a number of a client's securities trading orders and admitted that the
had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person
accounts. Those orders were submitted without sources and {ก} admitted that he took trading orders via mobile phone. In addition, he received the trading orders from one client for another client's
?April. AGM serves as a venue of shareholders to exercise their rights to vote and ask for clarification in management related issues from companies? directors, executives and auditor. Vorapol said that
Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
for shares and transfer 720,000 baht into Apple Wealth's bank account for such purpose. Sakkarin, however, informed the company that such money belonged to another client and changed the name and phone
misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the