two regulators over the past two years and is expected to create more opportunity for Thai capital market to connect with world-renowned Japanese capital market. It would provide more investment choices
explanation to the SEC accordingly. In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities
obtaining the clients? instructions. They cannot make securities and derivatives trading decisions on behalf of clients, regardless of the client's permission. In this regard, the aforesaid {A}'s actions
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities
securities trading orders from persons being neither account owner nor account owner's appointee; and failing to keep a complete record of trade order instructions; in violation of Clause 20(2) and (3) of the
authorization that {A} had obtained to make securities trading decisions on the clients' behalf.In performing their duties, investment consultants can send trading orders only when obtaining instructions from
ร่วมงานมากกว่า 130 คน ณ โรงแรม Eastin พญาไท เมื่อวันที่ 26 พฤศจิกายน 2568ภายในงานได้จัดให้มีการสัมมนาเชิงปฏิบัติการ หัวข้อ “Connect & Converge: When Securities meets Digital Assets” เพื่อให้ผู้ประกอบ
instructions from the clients. They cannot make securities trading decisions on behalf of clients, regardless of the client's permission. In this regard, the actions of {B} and {A} were deemed as obtaining
responsible for the operation of the reporting entity?s orders or action, failure to give instructions or perform their duty, such person may also liable to the penalty under the said Acts.SEC Secretary-General
products that connect the capital markets of Thailand with the CLMV (consisting of Cambodia, Laos, Myanmar and Vietnam) and ASEAN countries which will make the Thai capital market more attractive