?April. AGM serves as a venue of shareholders to exercise their rights to vote and ask for clarification in management related issues from companies? directors, executives and auditor. Vorapol said that
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
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
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
Bangkok, June 26, 2014 - The SEC suspended {A}, a former securities investment consultant of Capital Nomura Securities PLC., for trading securities on behalf of client. Following the report of
Bangkok, March 31, 2014 - The SEC suspended {A}, a previous capital market investment consultant of DBS Vickers Securities (Thailand) Company Ltd., for trading securities on behalf of
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
accounts. Those orders were submitted without sources and {ก} admitted that he took trading orders via mobile phone. In addition, he received the trading orders from one client for another client's
soliciting entities are legally licensed or registered to provide services in the capital market at www.sec.or.th under the topic SEC Check First and SEC Check First mobile application. For inquiries or