transportation, the SEC requests intermediaries’ cooperation in considering virtual operation or the work-from-home routine during the said period.
(Thailand) Plc. Earlier, the SEC found in a routine inspection of Maybank Kim Eng Securities (Thailand) Plc., that {A} had been authorized by his clients to make securities trading decisions on the clients
) 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
Développement (AFD), in collaboration with the Office of Natural Resources and Environmental Policy and Planning (ONEP) and the Thailand Environment Institute (TEI), with the objective of implementing financial
Développement (AFD), in collaboration with the Office of Natural Resources and Environmental Policy and Planning (ONEP) and the Thailand Environment Institute (TEI), with the objective of implementing financial
routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading
securities investment consultant, namely {E}, were suspended, effective from September 11, 2014.The SEC's routine inspection of RHB OSK Securities (Thailand) Plc., found that {B}, {C}, {D} and {E} had prepared
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
Bangkok, 12 October 2017 ? The SEC discloses the latest updates on the civil sanction statistics since the means of enforcement became effective on 12 December 2016, with the total of 21 natural and
information technology to support the work-from-home routine. In the past, the rules allowed employees of business operators to perform duties from home only during emergency situations (under BCP plan), but