securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many

Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), along with SEC executives, participated in the Anti-Corruption Day 2024 under the theme “Transparent

Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him

& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk

safekeeping of additional documentation of such business operations. The key points of the proposed amendments are as follows:           (1) DA operators would be required to keep records related to the

without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions

the SEC Open Data Services – to better serve the users while promoting a transparent, trustworthy and reliable capital market. The event took place in Bangkok on 28 March 2024. 

that meet additional criteria. The draft revision aims to streamline the PO application procedures for the offeror who has no records of inappropriate corporate governance practices and whose shares are

accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts

objectives of securities regulations identified by IOSCO: the protection of investors; ensuring that markets are fair, efficient and transparent; and the reduction of systemic risk.3 Quality and integrity of