สร้างความแข็งแกร่งและยืดหยุ่นให้แก่ผู้ลงทุน โดยเทคโนโลยีอาจทำให้ผู้ลงทุนรายย่อยมีแนวโน้มที่จะรับความเสี่ยงจากการซื้อขายหลักทรัพย์ (take risky trading) ซึ่งส่วนหนึ่งอาจมาจากการที่ผู้ลงทุนไม่ได้รับข้อมูล

benefit at the expense of their clients. It is the duty of each and every securities firm to deal with its clients in a fair and honest manner and must take a prompt and appropriate action once it becomes

considerably higher trading commissions from frequent submission of orders and high volumes during the marketing campaign launched by Country Group Securities. For {C}, she was assigned to take care of this

as a good starting point for them to make use of the capital market in the future, ready to take advantage of the opportunities from AEC.?Charamporn Jotikasthira, SET President said that ?The SET

client upon the request to take care of the trading account. She also sought assistance from a team member, an investment consultant in the team who was in charge of this client's account, to execute the

further probe revealed that she interfered with a client's asset by transferring cash into the client's account. {C} admitted that she had done so to take responsibility for the client's investment loss due

financial innovation. The criteria will be classified by the levels of risk and complexity.  (4)  Exploiting the benefits from the growth of emerging Asia  The SEC will take an active role in supporting the

parties. For the SEC, the promotion of financial literacy has been continuing for years. We hope to see all the parties concerned strengthen the collaboration and take up this matter seriously.?Dr.Prasarn

investment consultant, assigned {B} to take care of the clients as well as make investment analysis and give investment advice. {A}'s action was deemed as breach of duty and failure to exercise due care, while

. The above barred periods of serving as director or executive in securities issuing companies or securities companies will take effect when the offenders sign a letter of consent, agreeing to comply