Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
business operators providing bond securities business services to examine and ensure that the ultimate beneficiary owners (UBO) register for their authentication with the BOT before providing the
. The new digital platform also covers clearing and settlement, register of instrument holders, custody of instruments, and payment of interest or dividends.“The pilot project will be conducted on
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
in the capital market, or interested persons may register to join the seminar at www.sec.or.th/Seminar by 27 May 2019, or may watch live broadcast of the seminar on Facebook page “@sec.or.th” at the
bondholder register to determine the list of the meeting attendees and the timeframe for sending the invitation to the bondholders’ meeting; Agenda 2: Consideration for approving a waiver of
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
หุ้น (record date) ให้ถูกต้องตามกฎหมาย รวมทั้ง ดำเนินการใด ๆ ให้บริษัทสามารถดำเนินกิจการต่อไปได้ โดย IFEC ต้องแก้ไขข้อมูลที่เปิดเผยผ่านตลาดหลักทรัพย์แห่งประเทศไทยเกี่ยวกับ record date ให้ถูกต้องด้วยสืบ
was imposed on {B} for failing to record the clients' securities trading orders.The actions resulted in suspensions occurred while these investment consultants worked with Maybank Kim Eng Securities