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
global effort to reduce carbon emissions leading to global warming. SEC has therefore upgraded the Online Fund Approval and Management System (“OFAM”) to accommodate paperless filings.Businesses can
Bangkok, 6 September 2016 ? The SEC has filed complaints against Marnfah Group Co., Ltd. and Lederer (Thailand) Co., Ltd. and their respective authorized directors with the Economic Crime Suppression
front, new technologies will also be applied for capital market development and supervision and for upgraded cybersecurity. (3) Capital market’s prospects are steered towards sustainability through the
operators. This was followed by a focus group session aimed at gathering opinions from DA operators regarding the proposed amendments to the governance structure and qualifications of authorized directors and
, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders
admitted that the client, at the beginning, had authorized him to make securities and derivatives trading decisions on her behalf. Also, the recorded conversation found later indicated that the client
provide securities trading service to the account owner or the written authorized person. The SEC and RHB OSK found that {ก} submitted a number of securities trading orders in several clients? trading
authorized director Ornpaphat, had solicited the public to make an investment with the company via social media based on a scheme of minimum 100,000-baht investment for 12 months to earn a return of 15 percent
asset business operators shall seek approval from two authorized persons. In case of a withdrawal or transfer at an amount of 50 million baht or more, another independent authorized person is required to