consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
internet banking system to transfer 2,000 baht from a client's account into his own without the client's authorization. {D}'s actions were deemed to be prohibited characteristics of investor contacts in
management companies with clear operational direction toward achieving net-zero emissions, supporting the sustainable growth of Thailand’s fund and capital market industry. Ms. Nataya Niyamanusorn, SEC
engagement and drive the Thai capital market toward achieving the objectives. Key areas of the plan include enhancing the quality and fostering the growth of listed companies, searching potential high-growth
baht per person per day. To this end, Thailand’s upcoming 13th National Economic and Social Development Plan for 2023-2027 prioritizes achieving high-value, eco-friendly economy, society of opportunities
contribute toward achieving resiliency of our financial markets and step forward on the path of greater integration, sustainable growth and inclusivity for all.” The participants raised and
carefully reviews the operational objectives, considering possibility of achieving the goals. Also, incentives and rewards granted to the employees should be reasonable and would not instigate wrong doing
systems. Meanwhile, an information technology system is necessary for achieving the set goals. Hence, the determination of regulations on supervision of derivatives exchanges, efficient use of information
? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders