transportation, the SEC requests intermediaries’ cooperation in considering virtual operation or the work-from-home routine during the said period.
(Thailand) Plc. Earlier, the SEC found in a routine inspection of Maybank Kim Eng Securities (Thailand) Plc., that {A} had been authorized by his clients to make securities trading decisions on the clients
) 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
, infrastructure funds, infrastructure trusts and real estate investment trusts (REIT).The proposed rules would require regular disclosure of the annual registration statement, annual report, financial statements as
routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading
securities investment consultant, namely {E}, were suspended, effective from September 11, 2014.The SEC's routine inspection of RHB OSK Securities (Thailand) Plc., found that {B}, {C}, {D} and {E} had prepared
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
the theme ?The successful world at your backyard?, the SEC booth aims to promote that saving and investment are not as something distant but relevant to everyday life. As such, everyone should start to
retirement funds as new investment choices for the retired with demand for regular payouts and return from their retirement benefits. The fund?s portfolio will be allocated to invest in not too risky assets
information technology to support the work-from-home routine. In the past, the rules allowed employees of business operators to perform duties from home only during emergency situations (under BCP plan), but