a capital market information center providing open data and open APIs to public. We put a lot of effort into issues like data governance, handling of personal information, IT security, enhancing
client due diligence ? e.g., clients? investment objectives, personal conditions and risk tolerance ? before giving advice, attached with supporting reasons, on suitable funds for their investment. In
Investigation Bureau (CIB), the SEC has found the facts and evidence that all 18 offenders are connected, in terms of personal relations, money trails, securities trading as well as channels and locations of
major shareholder, sold the shares in his personal trading account during 3-26 October 2012 at the total amount of 576,000 shares. The misconducts of the four offenders violated Section 241 and liable to
allocation to seek personal gains for oneself or other persons. By committing such act which gained him more than 42 million baht in benefits, Chupong was deemed to have performed duties dishonestly. In
responsible underwriter is prohibited to prevent such persons from taking unfair advantage of their job position and duties related to securities allocation to seek personal gains for oneself or other persons
Jordan or Eric Jack Jordan as PPI director and personal capacity and (3) Gary Bradford for jointly operating securities business without license. The SEC received a complaint from a foreign investor
advisable for investors to focus on their personal goals and long-term investment rather than chasing short-term high returns.Polpatt Vinaibodee, leader of the SEC research project on the topic, ?Trigger
information about the funds? investment plans to trade securities for her personal or other persons? gains (front running). Such trading activities were made through two securities trading accounts with
operators.?Increased investor access to the capital market will help boost public awareness in the importance of personal finance. It will contribute to a rising numbers of investors, of course, not only in