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
Malaysia, and one company from Indonesia; (3) The Country Top 3 PLCs Award is given to listed companies with Top three highest score. For Thailand, the top three companies in alphabetical order are PTT
websites or email: pitchal@sec.or.th. The public hearing ends on 7 November 2023. ___________________Remark:* Any individuals appointed by the Board of Directors of DA operator to be the highest-ranking
World University Ranking in 2018 จะได้รับการพิจารณาเป็นพิเศษ เปิดรับสมัครตั้งแต่บัดนี้ จนถึงวันที่ 20 กุมภาพันธ์ 2561 ผู้สนใจสามารถดาวน์โหลดใบสมัครขอรับทุนการศึกษาได้ที่เว็บไซต์ www.sec.or.th หรือสอบถาม
Technology or Behavioral Finance at Top 100 universities according to the QS World University Ranking in 2018. The SEC Scholarship Application Form is available at www.sec.or.th. For more information and
) 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