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
} had submitted some trading orders and later asked the client to re-submit those orders via the phone recorder. Moreover, several transactions showed that the securities were traded intra-day at the
be traded while the clients merely accepted the transactions. For {B} case, it was found that he failed to completely record the client's trading securities orders for a number of transactions; the
report of Country Group Securities PCL, the SEC probed into the case and found that {A}, a securities investment consultant and the executive vice president of the branch, traded securities on behalf of
practicality and fairness.The proposed revision would allow asset management companies a grace period for increasing the number of the unitholders of listed funds, including exchange traded funds and index funds
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
persons in the group. Trading was done in concealment to mislead the public into believing that MILL shares were actively traded or share price was changed as MILL shares were traded in various manners
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
complaint and inspection report of Maybank Kim Eng Securities (Thailand) Plc, the SEC further probed into the case and found that {A} traded securities on behalf of a number of clients. He traded securities