Commission No. KorThor. 4/2543 Re: Custody of Client Assets of a Securities Company By virtue of Section 14 and Section 98(3) of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange
: Custody of Client Assets of a Securities Company By virtue of Section 14 and Section 98(3) of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the
securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “ institutional client ” means a person who makes transactions with a securities company in
According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading
, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment
their trading decisions without objection or asking for any information of those securities. In addition, it was found that a client of Onjira asked her to make trading decision on his behalf while Wasana
from February 1, 2013.From the report in this matter, the SEC probed into the case and found that {A}, {B}, {C}, and {D}, had used client accounts to trade securities for themselves. They also borrowed
จัดงาน “Impact Enterprise 20 : Growing social impact investment in Thailand” ในรูปแบบvirtual pitching event โดยมีนางสาวรื่นวดี สุวรรณมงคล เลขาธิการ ก.ล.ต. ร่วมกล่าวเปิดงาน ในวันที่ 18 มีนาคม 2564 ซึ่ง
remain in good shape,? said Acting SEC Secretary-General Chalee Chantanayingyong.Regarding Thailand?s growing economy and strong performance of listed firms, investors should not be panic but make careful
auditors of SMEs have been proposed in response to the growing number of SMEs with potential to become listed on the Stock Exchange of Thailand. In this regard, most of the criteria remain in line with the