from SCB Securities Co., Ltd. that {A} frequently failed to record her clients' securities trading orders. She then admitted that when orders had been executed completely from many of her clients, she
market investment consultant of Finansia Syrus Securities Plc.The SEC found from its routine inspection that {A} frequently failed to keep records of his advice and clients' securities trading orders. He
Bangkok, March 14, 2014 ? The SEC organized an event to announce the success of ?Pride of the Provinces? Project, joined by 219 companies from 39 provinces since its launch in 2011. Last night, 16 Project participants and their supporters were awarded in recognition of their success in obtaining IPO approval under the criteria.Vorapol Socatiyanurak, SEC Secretary-General, said that ?Pride of the Provinces Project, first launched in 2011, has been fully supported by our alliances, namely the Mini...
Bangkok, January 21, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of OSK Securities (Thailand) PLC, for not taping her investment advice and client's
Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the
Bangkok, December 27, 2012 - The SEC imposed a one-month suspension on three investment consultants of Phillip Securities (Thailand) Plc. for not taping clients? trading orders, effective from
Facebook Page ชื่อ Stocks Are Not Difficult : Unlicensed securities and derivatives business (Disclosure Date : 22/01/2024)
Facebook Page ชื่อ Stocks Are Not Difficult : Unlicensed securities and derivatives business (Disclosure Date : 22/01/2024)
that he did not have any evidence for now. The accusation on SCIB-C1 case is only his assumption based on his observation from securities trading information publicly accessed. Mr. Thirachai
related parties and asset control management. Submission of special audit report will become due on December 9, 2011. THL has later requested for extension of submission while THL has not appointed any