to support the using of new technology in several activities in capital market, in particular fundraising, trading, and clearing and settlement. We believe that the embrace of innovation would promote
SEC?s further investigation has revealed that while working at Globlex, {A} made trading orders for the securities and derivatives accounts of her clients who had given their usernames and passwords to
performing any action in violation of law.The SEC probe into the case and found that the four investment consultants, responsible for securities trading accounts of overseas brokers (omnibus account
Mr. Jaray Chanchaisilp Mr. Jaray Chanchaisilp, director of Silver Line Trading Intertrade Co., Ltd. and Diamond and Silverline Group Co., Ltd., operated derivatives business without license or
The Siam Commercial Bank Public Co.,Ltd The Siam Commercial Bank Public Co.,Ltd, as a securities business operator in the category of Brokerage, Trading and Distributing securities as investment
Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the
? assets and using a client's trading account to trade securities for his own interest.Following Apple Wealth's inspection report related to clients? complaints against Sakkarin and the SEC's further
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best