Homtuanlom, for operating derivatives business (gold future agent) without license and defrauding the public, causing a damage of 13 million baht. From the SEC?s investigation, these companies do not have
Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
derivatives trading decisions on the client's behalf. Upon her client's inquiry, she then informed the client of the transactions which the orders had already been entered or executed. {A} had obtained such
December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine
business operators default on cash settlement or physical delivery with the derivatives clearing house or their clients in case of derivatives business operators, unless such default is not caused by
In face of the changing environment, such as technological development, volatility of the global financial and capital markets, impacts of the COVID-19 pandemic, and investors’ changing behaviors, intermediaries have adapted in response to such changes. For example, restructuring affiliated companies and optimizing the use of human resources to serve business expansion, including diversification of products and services. The SEC is therefore proposing to amend the regulations on the appointment...
SEC Secretary-General Ruenvadee Suwanmongkol said that the ongoing spread of COVID-19 is affecting some securities companies and derivatives business operators to the point that it is necessary to