Bangkok, March 16, 2015 ? The SEC provided a guidance to build up a lifetime of financial security among the Thais through the project called ?Being Money-Wise for the Bright Future?. The Project
during March ? May 2008 and August 2010 and MAX shares in September 2010, the SEC probed into the case and found that Shine and others had continuously sent securities trading orders through trading
Bangkok, February 28, 2012 ? The SEC has revised issuance rules governing bills of exchange (B/E), short-term debentures and complex structured products to promote more fund mobilization through debt
Section 176 of the Organic Act on Anti-Corruption B.E. 2561 (2018). Such efforts will be implemented through appropriate internal control mechanisms and by promoting good corporate governance among
acting in substance as, a funding provider to such major shareholders, whether conducted directly or through any persons or intermediaries (excluding ordinary business transactions, such as lending by
) และในมูลค่าที่สูงขึ้นมาก1.3 เดิมมีลักษณะการซื้อขายหลักทรัพย์ประเภท put through/big lot ในจำนวนไม่มากแต่ต่อมามีการจับคู่ซื้อขายหลักทรัพย์ประเภทดังกล่าวจำนวนเพิ่มขึ้นอย่างมีนัยสำคัญโดยไม่มีเหตุผลทาง
investment advice and the clients' trade order instructions. He admitted that he had advised his clients and taken orders via mobile phone.{A}'s actions were deemed as taking trading orders from a person being
regard, {C} admitted giving advice and taking the client?s trade orders via mobile phone.The SEC found {D} case during its routine inspection that showed her failure to record some of her advice and