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

Order No. 4/2020 Dated 23/01/2020

in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments. SEC Act

/2020 Settlement Committee Order No. 16/2020 Dated 20/05/2020

. SEC Act S.56(2) Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 23/2020 Dated 02/09/2020

Order No. 5/2020 Dated 23/01/2020

?), shall be liable, under section 283 of the Securities and Exchange Act B.E. 2535, to an offence of Bualuang Securities. The offence of Bualuang Securities is a result of an order or an act of Mr. Khophong

Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to

Settlement Committee Meeting No. 6/2020 Settlement Committee Order No. 30/2020 Dated 18/11/2020

Market Supervisory Board. Mrs. Phenchan later filed the reports (Form 59-2) to the SEC Office on December 27, 2019. SEC Act S.59 Settlement Committee Meeting No. 1/2020 Settlement Committee Order No. 3