, representing the investment amount of Baht 500,000,000. In this regard, the Company has resolved to authorize the authorization of directors to bind the Company or the Chief Executive Officer or any person
mutual fund without authorization from the client. She did not clarify the details of the new fund and failed to assess the client's risk tolerance before giving investment advice, causing inappropriate
usually represented themselves as agents of foreign derivatives brokers licensed by foreign regulators and thus required no authorization from the SEC. Falling into the trap by transferring money to these
accessed the company's system to review the trading information without any objection. The actions of {B} and {C} were deemed as obtaining authorization from client to make securities trading decisions on
entrusted to make derivatives trading decisions for the client from January to June 14, 2011. {B}, however, did so on June 15, 2011 without the client's authorization and she admitted to such unauthorized
Wannapat signed the names of clients and the authorized checker on fund trading order forms without the actual signatures of either party, and used the checker’s password, without authorization, to approve
Building Confidence in the Capital Market No. 72/2015 SEC notifies EIC to cooperate with auditor Bangkok, June 9, 2015 – The SEC notified Electronics Industry Plc. (EIC) to cooperate with the auditor
record any corporate’s personal data processing activities both in a hard copy or an electronics systemSEC Secretary-General Ruenvadee Suwanmongkol, said “SEC, as a capital market regulator, expects
benefits related to any financial product sellers. Such advice must be made online via website or electronics channels with a feature for general people’s participation for comments.Investment advisors