derivatives broker has advanced its own asset to secure or satisfy the obligations incurred incidental to, or resulted from, a derivatives transaction for the account of a customer, the derivatives broker
documents indicated that its total revenues relied on six major counterparties, accounting for 49 percent of total revenues from sales and services. It was found, however, that 30 percent of the applicant?s
resulted from trading orders for investment units listed on SET, in nature, is indifferent from that of the securities company that submits share trading orders. However, the said requirement will not apply
derivatives business; and (2) S D Global, Seandar Inc. (or Seandar), Huang Young Lin, Tang Tia Julien, and Teh Cheng Huat for operating unlicensed securities business.The compliant resulted from several reports
investment unit selling.The SEC led Thai private sector on a business trip to Japan in February to meet Japanese executives from both public and private sectors, aiming to strengthen collaboration with FSA
Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC
Bangkok, February 3, 2014 ? The SEC in cooperation with alliance from both public and private sectors launched ?Pride of the Provinces III? to gear up provincial businesses? fund raising and capital
Bangkok, February 17, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General said that ?From Monday 17 February, 2014, investors and general public can simply dial 1207 to call the SEC for information
, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio investments and transactions. The revised regulations will be effective as from April 1, 2014 (for details of the
Investment and Giving Investment Advice dated January 18, 2012 (Notification No. TorLorThor. 3/2555). Accordingly, the SEC suspended {A} for three months from his duty as the approved capital investment