serve specific investment purpose or to be suitable for particular targeted investors. Meanwhile, much importance should be placed on the quality of sellers, operating systems and advice given to
. Such conduct misled the public regarding the price or trading volume of the securities and placed orders on a continued basis with the intent to cause the price or trading volume of the securities to
listed companies.Mrs. Pornanong Budsaratragoon, Secretary-General of the SEC, stated: “In the past, the SEC has placed importance on supervising listed companies and promoting good corporate governance
which are secured with collateral placed by the derivatives broker and are not under the condition allowing the creditor to call for prepayment before the maturity date, only in the portion of liabilities
Investing in future contract require investor to deposit certain asset with the derivatives broker for securing the fulfillment of futures contract by the investor. However, the amount of assets placed as an
investor. However, the amount of assets placed as an initial margin is minimal when compared to the value of derivatives contract. Keeping this in mind when there is a significant change in market price of
evidence relating to derivatives trading under the following rules: (1) Records of advice given to customers and derivatives orders placed by customers shall be kept for at least three months from the date