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
เนื่องจาก ก.ล.ต. ได้รับการสอบถามจากผู้ลงทุนจำนวนหลายรายซึ่งมีข้อสงสัยหรือถูกชักชวนให้ลงทุนกับ FX Trading Corporation โดยพบการเผยแพร่การประชาสัมพันธ์ผ่านสื่อสังคมออนไลน์ Facebook ในลักษณะที่อาจ
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
time. Third, Country Top 3 PLCs Award is given to companies with the top 3 highest scores in each country. For Thailand, the top 3 highest performers in SET-symbol alphabetical order are Bangchak
Bangkok, 28 March 2018 ? The SEC has announced the decision of the Criminal Fining Committee to impose fines on News Network Corporation Public Company Limited (NEWS) and its Chief Executive Officer
days (within 14 August 2018) to continue their businesses until an order to cease their businesses is given.As of 14 August 2018, these seven existing businesses seeking operating licenses, in line
falsification of accounts and financial statements, and the deceitful practices towards the public in the case of Stark Corporation Public Company Limited (STARK). The SEC is also prepared to extend full