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
develop the authentic learning process in order to prepare the graduates for real-world challenges as well as promote and support various academic projects to enhance the quality of academic works for
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, 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
failure to record the client's securities trading orders. They were RHB OSK Securities (Thailand) Plc. (OSK Securities) employees.From a routine inspection of RHB OSK Securities (Thailand) Plc, the SEC
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
auditor and found audit deficiencies related to the issuance of B/E. The deficiencies resulted in {A}’s failure to detect the incomplete record of the B/E in the annual financial statements.The SEC has