Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the
Bangkok, March 18, 2015 ? The SEC suspended {A}, a securities investment consultant and a branch manager of Bangkok Bank Plc., for failure to inform the client of sufficient information which was
securities clients.Essentially, securities companies and derivative business operators would be allowed to invest their clients? assets in money market funds as well as bills of exchange and promissory notes
According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order
Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
Bangkok, October 8, 2014 ? The SEC suspended Atthapol Klabklan, a capital market investment consultant of Krungsri Securities PLC., for trading securities on behalf of client. Following a report
Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's