Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
}, the capital market investment consultant received trading orders from the person who was not owner of securities trading account without any written authorization letter. From the recorded conversation
Bangkok, December 9, 2014 - The SEC suspended {A}, a capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for 6 months.After receiving a client's complaint against {A
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was
. Structuring investment returns with varying risk appetites supports diversification efforts in the stock market. Initiatives like sectoral trend developments, ETF expansions, and Individual Saving Account (ISA
Bangkok, February 21, 2013 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board recently approved the amendment to rules governing advertisement and sales
whether there was any unusual trading during such period of time was also taken into account, the results of which are as follows: 1. Cause of temporality halt on the SET?s trading system Circuit
common objective of making the Thai capital market deeper, more credible, and regionally competitive. At the same time, the Ministry of Finance is ready to support relevant measures, taking into account
become an important factor for stocks and mutual funds investment in recent times, but opening a trading account, which is the first step towards the services in the capital market, still takes a long