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
investors to use more tool-specific services and have more investment alternatives to meet their demands.Given wider varieties of investment advisory services and larger pools of investment product
shareholders in making their own investment.? Ammorn Chaovalit, SSO Secretary-General said that ?The SSO manages larger than 1.1 trillion baht in assets of social security fund and compensation fund, over
investment trusts; (2) a 30-percent rate reduction for medium-sized and larger listed companies; and (3) an extension of the annual fee payment due date from May 2020 to the end
) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A
of live. At present, a lot of 60-year-old persons are healthy and intelligent to make contribution to many useful activities and have longer live expectancy. With larger amount of pensions to be