directly or indirectly through mutual funds. The instruments account for 47 percent of domestic issues of debt instruments. In principle, it is therefore necessary to regulate the financial institution?s
visibility and gain recognition of the Thai market in the international community. The SEC laid out the plan by taking into account compatibility with international standards, market accessibility for all
permitted {A} to make further securities trading decisions. Besides, the securities and derivatives trading volume in the client?s account was high during the misconduct. Trading securities and derivatives on
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
Sukonthaman said: ?The SEC supervision takes into serious account intermediaries? managerial structure and work systems to ensure protection of clients? best interest and the overall market reliability. Some of
derivatives products to deposit money into banking accounts of two securities companies for Sureerat?s derivatives trading account. Such wrongdoing was in violation of Section 16 of the Derivatives Act B.E
Arthur Robbirt, a British citizen, on account of jointly operating securities business without license.The SEC has been informed by foreign investors residing in Thailand that Global Consultant ? located
public as gold futures trading agents. They also advertised and solicited the investing public to open gold futures trading account and conduct trading transactions through the following websites
decision without taking into account fundamental factors. In addition, lucky draw campaigns are prohibited to prevent the overinvestment or overuse of services. The revised rules will be applicable to all
trading decisions on the client?s behalf with internet trading username and password for trading from September 13, 2011 until the end of December 2011, causing losses in the client?s account of