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
methodology and a highly consultative approach. It highlights investor sentiment in subsectors and broad opportunity areas, while also suggesting viable business models that can be supported.Private sector
, and the trading prices of securities of listed companies on the Stock Exchange of Thailand. SEC, therefore, encouraged every listed company and security issuer to disclose both positive and positive
SEC’s efforts in providing technical assistance to support the Thai capital market in shifting from ESG to the SDGs, from process and policy compliance to measuring and delivering positive impacts,” Mr
practices and diversity yield not only more positive impacts to the economy and society but also to the business values,” she said. OSMEP Director General Veerapong Malai, meanwhile, cited the importance
“PDPA Award 2020” on personal data protection will send a positive signal to motivate organizations to take up this matter with utmost care like what they have already done in context of good