example, algorithm or computer coding has been used in the process of investment analysis, advice, and investment decision-making. Therefore, it could lead to new services offering and help investors to
based on existing key principles aiming to ensure that (i) retail fund?s investment units will be allocated to general investors; (ii) retail fund will not be used to seek undue benefit for any particular
limitation on examination by the company?s executives regarding the company?s misuse of proceeds received from increase of capital by investing in common shares and warrants of P Plus P Plc. The proceeds used
used to invest, based on market price, at least every business. This is to ensure that securities company or derivatives broker will be able to return client?s assets in full after withdrawing deposit or
analysis on current conditions of assets. Accordingly, the SEC required GOLD and UV clarify the reasonableness of the assets valuation report used in making a decision to propose the asset disposition and
? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders
benefit.Following a report of Bualuang Securities Plc., on {A} case the SEC probed into the case and found that he used computer with Bualuang Securities' IP Address to submit the trading orders via client's internet
order form (Form F8) despite the fact that those trading orders were made via mobile phone. Use of Form F8 therefore was inappropriate submission of trading orders because such Form must be used in
Bangkok, February 26, 2014 ? The SEC is seeking public comment on proposed rule on the classification of mutual funds based on net exposure. The classification will be used for fund performance
Limited (ESTAR) for insider trading.With the referral from the Stock Exchange of Thailand, the SEC probed into the case and found that during February 24-28, 2014, Ratanachai had used another person?s