trainings, support for tool development in order to uplift the overall audit quality”._________________________
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to
client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s
worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent
SEC considers revising the regulations on the offering for sale of investment in shares held by listed companies or their subsidiaries in order that the shareholding can be conveniently
method was not allowed according to the company's articles of association. Later, on 26 June 2017, the Department of Business Development, the Ministry of Commerce issued an order rejecting the
directors. IFEC by Mr. Suphanan's request to the DBD for a review of its order or to exercise the right to file an appeal with the Commerce Minister is a time-consuming process for the final conclusion
The move follows the Commerce Ministry’s decision today to declare the whole IFEC board of directors consisting of only the three named individuals. On 7 June 2018, the Commerce Ministry’s
SEC Secretary-General Ruenvadee Suwanmongkol, as a Chairperson of Business Security Law Drafting Task Force under the Prime Minister’s Office Order No. 257/2560 Re: Appointment of Business Security