to improve their supervision and surveillance capabilities. This training will ensure the Thai market remains even with international counterparts; with a primary goal of preventing negative impact on
trading decisions on the client?s behalf with internet trading username and password for trading from September 13, 2011 until the end of December 2011, causing losses in the client?s account of
} for his inappropriate acts. The {A} case was reported by MTS Gold Futures Co., Ltd. that he had been authorized by his client to make derivatives trading decisions on the client's behalf with internet
Bangkok, March 28, 2013 - The SEC imposed a three-month suspension on {A}, a securities market investment consultant of Trinity Securities Co. Ltd.The SEC received a report from Trinity Securities
Bangkok, March 29, 2013 ? The SEC is seeking public comment on proposed rules on outsourcing in securities and derivatives businesses. The proposed revision aims to facilitate and increase the
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, December 12, 2014 ? The SEC is seeking public comment on proposed revisions of capital requirement for asset management companies to maintain adequate minimum capital requirement for
on behalf of clients.Following the report of Kasikorn Securities Plc., the SEC probed into the case and found that {A} had been authorized by two clients to make derivatives and securities trading
Bangkok, November 6, 2014 ? The SEC is seeking public comment on proposed revision of approval criteria for auditors in the capital market to be more practical. The proposed revisions include
Bangkok, October 17, 2013 ? The SEC advised shareholders of Wyncoast Industrial Park Plc. (WIN) to exercise their voting rights at the company?s Extraordinary General Meeting (EGM) on October 22