? 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
obtaining authorization from client to make securities trading decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and
the transactions. Failure to record the client's securities trading orders and obtaining authorization to make securities trading decisions on behalf of the client are, respectively, in violation of
(Accredited Provident Fund Committee Members Program (APC)? เพื่อให้ความรู้แก่กรรมการกองทุนสำรองเลี้ยงชีพ ในแนวทางปฏิบัติหน้าที่ของคณะกรรมการกองทุนสำรองเลี้ยงชีพที่ดี มีธรรมาภิบาล รวมถึงความรู้เกี่ยวกับตราสาร
accredited investors การแก้ไข/เพิ่มเติม ส านักงานจะพิจารณาอนุญาตให้บุคคลธรรมดา / นิติบุคคล ลงทุนได้เฉพาะในสินค้าบางประเภทที่ accredited investors สามารถลงทุนได้ และจะก าหนดเงินลงทุนขั้นต่ า คร้ังแรกให้เหมาะสม
Office under the Notification of the Capital Market Supervisory Board concerning Establishment of Retail Funds and Mutual Funds for Accredited Investors and Execution of Agreement for Management of Private
Bangkok, June 15, 2016 ? The SEC is seeking public comments on the proposed amendments to the rules governing investment of private funds and mutual funds offered for sale to accredited investors.The
Bangkok, August 13, 2014 ? The SEC allows mutual fund for accredited investors (AIs) to invest in derivatives without investment limit, adding more investment choices for AIs. Vorapol Socatiyanurak
consultation paper is available until August 20, 2013.The SEC proposes to allow mutual fund, private fund, provident fund and accredited investor fund to invest in both listed and unlisted instruments of the GMS