Bangkok, February 29, 2012 ? The SEC and the Association of Investment Management Companies (AIMC) have been concerned over the irregular closing price on December 30, 2011 of Gold exchange-trade
that should have been recorded on audio tape were reported on a written trading order form instead. Evidence of trading order execution is critical and very useful, especially in case of disputes among
confidential business secret is deemed performing duties dishonestly and betraying investors? confidentiality. Investor contacts are key capital market personnel who have direct and close contact with investors
securities firms themselves took part in share price manipulation. Strict enforcement on this case is imperative. Due to their misconducts, Porntep and Arada now have prohibited characteristics of capital
? responsibility for the client assets and must have provisions requiring that the companies take full responsibility for the client assets should they become lost or damaged due to the companies? negligence. The
for the company in Hong Kong SAR, who provides services of gold futures contracts trading. The company has managed to have marketing officers to call and solicit investors to invest and sent out the
little money in assets offering low return. Therefore, the SEC this year set a target of 100 participants from employers nationwide. So far, 60 organizations and companies tallying 90,000 employees have
campaigns to promote investor education and protection, creating awareness about finance and investment among investors globally. This activity aligns with the SEC's goal of ensuring Thai people have good
committed an offense under the lawsuit of the plaintiff, and imposed civil sanctions, as follow: a civil penalty, a compensation at an equal amount to the benefit should have been received from committing the
In recent years, environmental, social, and governance (ESG) considerations have been increasingly promoted at both national and international levels. Thailand has announced its target to achieve net