Following a report from Maybank Kim Eng and SEC’s further investigation, it was found that from the month of May to 5 October 2016, Pusit, who was the company’s executive at the time, had taken important information and business secrets of the company without approval. He later resigned from the company. SEC has considered that Pusit failed to perform duties with loyalty* and therefore suspended approval for him as capital market business personnel for four years, starting from 29 Januar...
the customer must place cash or listed securities as initial margin with securities company . However, bonds or investment units are not permitted to be place with securities company as collateral to
, transfer or exchange of securities that would result in Thai investors gaining more possessions of NVDR; (2) In the case where a local securities company has a foreign securities company as a client, the
purchase, transfer or exchange of securities that would result in Thai investors gaining more possessions of NVDR; (2) In the case where a local securities company has a foreign securities company as a
Pursuant to Section 89/25* of the SEA, the auditor who perform an audit in accordance with the auditing standards has the duty to report to the Audit Committee of the securities company** or the
the principle and the draft regulation which would require the auditor to report to the Audit Committee of securities company** or the Audit Committee of listed company any suspicious circumstance
subject to civil sanctions by the Civil Sanction Committee has disqualified him from becoming a director or executive of a securities company or a listed company as he is deemed to possess untrustworthy
SEC issues a notification of the capital market supervisory board revising rules regarding the establishment of audit committee of securities companies by requiring a securities company keeping its
Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report
Bangkok, October 9, 2014 - The SEC disclosed inappropriate behavior and suspended four securities investment consultants, then employees of Globlex Securities Company Limited, namely {A}, {B}, and {C