prudent risk management scheme in preparation for internal and external challenges, said SEC Secretary-General Thirachai Phuvanatnaranubala in his speech at Thailand Smart Money 2010-2011 today.The US
mutual fund which will be allowed to (1) invest in both equity or debt instruments issued by CDM project operators, (2) trade Certified Emission Reduction (CER), (3) engage in other transactions such as
{A} for executing their trading orders.{A} later resigned from Globlex to work for KTB where she made trading orders in the derivatives accounts of several clients who had given her their usernames and
save and invest earnestly in order to meet life goals and have comfortable and secure retirement. The SEC always takes an active role to promote financial literacy for people from all walks of life
July 31, 2007, the SEC probed into the case and found that {A}, {B}, {C}, {D} and {E} had colluded to trade RICH shares in concealment through 15 related persons securities trading accounts. They traded
misconduct occurred. Following the inspection report of Globlex Securities Company Limited, the SEC further probed into the case and found that {A} convinced a client to trade securities and derivatives. He
realization of the losses, the above four persons ordered or permitted or facilitated recording of account entries of overseas trade accounts payables lower than actual liabilities. In case of GSTEL, the said
to trade securities on client's behalf. In addition, it was found that trading orders were submitted by {A}, {B} or Kantanapat, or via internet in the approximate periods and sometimes were the orders
trade securities for his own benefits through such client?s account. Trading securities on behalf of client, making trading decision without the client?s orders in the client?s securities trading
., Ltd. (K-Asset) and SCB Asset Management Co., Ltd. (SCBAM), as well as the equity funds managed by both companies. Evidence indicated that she had performed her duty dishonestly in order to obtain