found that {A} did not record a number for securities trading orders submitted for a number of clients. {A} admitted that he took trading orders via mobile phone.Failure to keep complete record of the
intermediaries.? The amendment proposal aims to strengthen IT security protection for intermediaries to cope with potential new types of risk arising from the use of new technologies such as mobile devices and
to consultation papers and more convenient participation in the hearing process. The website is accessible via multiple devices such as desktop, tablet and mobile phone, to fit the users
Bangkok, March 19, 2014 - The SEC revealed that the Settlement Committee imposed a total fine of 11,962,385.44 baht on (1) {A} (2) {B} (3) {C} (4) {D} (5) {E} (6) {F} (7) {G} (8) {H} (9) {I} (10) {J
imposed on 10 persons, namely (1) {A} (2) {B} (3) {C} (4) {D} (5) {E} (6) {F} (7) {G} (8) {H} (9) {I} and (10) {J}.With the referral from the Stock Exchange of Thailand on irregular trading in UKEM shares
when the SEC lays out further guidelines for supporting SMEs access to capital market fundraising. 3) Launching mobile application SEC Check First and web-based application Retirement Checkup, SEC’s two
Innovation Agency (NIA), (2) Mr. Chakraphan Hiranwongwira, Service Experience Consultant and Founder, H and Double H Design, (3) Mr. Putthimes Thanarersk, Director of the SEC Digital Asset Enforcement
Innovation Agency (NIA), (2) Mr. Chakraphan Hiranwongwira, Service Experience Consultant and Founder, H and Double H Design, (3) Mr. Putthimes Thanarersk, Director of the SEC Digital Asset Enforcement
a number of orders via mobile phone. For {B}, the SEC probed into the case and found that she failed to keep complete record of a number of a client's securities trading orders and admitted that the
, Start a journey to your dream? zone, investors will learn more about investment discipline. Moreover, mobile application ?start-to-invest? and the website www.moneywellplan.com are awaiting to offer our