Bangkok, 9 August 2016 ? The SEC is seeking public comments on the proposed revision to the rules governing custody of clients? assets by intermediaries to ensure investors? best interest.The guiding
Antella Investment Inc. Between 1997 and 2000, Antella Investment Inc. operated securities brokerage businesses, soliciting foreign clients to invest in securities, in Thailand under the name of
Following a TMB report on clients’ complaints and SEC’s further investigation, it was found that during 27 July 2015 – 5 June 2017 Nuchanart (1) withdrew money from her clients’ bank accounts
10 years on account of deceiving several clients, falsifying documents, spending clients? money for his own interest, and using clients? trading accounts to trade securities for himself.Following a
, respectively. The orders have been issued and effective today, after finding indicated that both investor contacts used their clients? accounts to trade securities for others. In case of Meaunchit, the SEC
Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with
Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6
. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013
remaining relatively stable across regions. While some operators continue offering discounts and promotions to attract new subscribers, others are introducing convergence services to attract new customers