market personnel including new types of capital market personnel required to obtain the SEC?s approval due to their vital responsibilities having high impact on the clients. The approval will be applicable
because 77% of total share price had already been paid to the prospective seller, the proportion of which was relatively high comparing to the condition generally prescribed in sale contract. Due to its
time with high trading volumes. {A} admitted that the client allowed her to make trading decision under the pre-determined value. After trading, she notified her client via recording telephone.The client
into the communication records of {A} and her client and found that {A} had been authorized by her client to make derivatives trading decisions with high trading volumes. The client asked her to close
? 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
Chantanayingyong, SEC Deputy Secretary-General, said Thailand currently faced a lot of crucial problems such as high household debts and low personal saving rates, exacerbating retirement plan problems while ageing
certificates will be limited to institutional investors or high net worth investors only; therefore, is exempted from the SEC?s approval.? ?To make investment in PE trust more attractive, the SEC will further
Exchanges (WFE). The proposal aims to enhance investment opportunity and investment choices for investors in the high growth subregion with an appropriate investor protection. For example, an investment
investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives
securities trading decisions on behalf of the client. She then continuously made trading decision on behalf of the client for more than three months in high value and volume trades. {A}'s action was deemed as