Bangkok, October 27, 2015 - The SEC urges shareholders of Superblock Public Company Limited (SUPER) to thoroughly study the solar cell power plant investment project before casting votes at the
discussing with her client to fine-tune the deficit portfolio. At the end of the trading day, she notified her client via mobile telephone after working hours.Making securities trading decisions on behalf of
The SEC is hosting the Asia Pacific Takeovers Regulators Conference 2019, an annual platform for expanding cooperative network within the region and sharing views on regulatory frameworks and
Alert list. The application is easy and swift to navigate on the phone screen. One must only type in a name, to know whether it is approved, licensed, qualified, or registered under the supervision of
to consultation papers and more convenient participation in the hearing process. The website is accessible via multiple devices such as desktop, tablet and mobile phone, to fit the users
derivatives and structured notes. The revisions include expanding underlying assets of derivatives and SN to cover all investible assets as well as revising SN definition and underlying assets in the category
investors better. Key changes in the amendment include:- Expanding the payment amount of redeemed investment units on the unit trading day- Allowing asset management companies to fix the fund’s constant net
submitting orders via mobile phone before re-submitting the orders via the phone recorder in order to make up the evidence that the client had made her own trading decision. The investigation found that {A
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
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