Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
Maybank Kim Eng Securities (Thailand) PLC, Chonburi branch, for trading securities through clients' accounts for their own benefits and using non-financial institution loans. The SEC also suspended {E
) amount and category of assets ; (3) cause of receipt or disposal of assets . In cases where the assets recorded in a client’s account belong to a third party and are deposited as collateral for the benefit
. In cases where the assets recorded in a client’s account belong to a third party and are deposited as collateral for the benefit of such client, the securities company shall record the name of the
details: (1) date of receipt or payment of the assets; (2) amount and category of the assets; (3) the cause of receipt or payment of the assets. In case where the assets under the client’s account belong to
receipt or payment of the assets; (2) amount and category of the assets; (3) the cause of receipt or payment of the assets. In case where the assets under the client’s account belong to the third person
addition, the said transaction is considered as a disposal of asset, notwithstanding, does not belong to a disposal of significant asset of listed company. 7. Rationale and necessity of the transaction
in the firm Address City State Postcode Country E-mail address Telephone number Fax number Does your firm belong to an international network ? Yes No If yes, please state the – Name of the network
prohibited under section 126(1) and section 139(5), as the case may be; (1) Management company obtained the soft commission from any person for its own account, deriving from the service offered by such person