Earlier, the SEC conducted a public hearing on proposed principles and draft amendments to the regulations for submission of granular data related to clients' assets and transactions of business
three application forms into one, and reducing the required supporting documentation from 19 to 7 documents. The proposed actions above are expected to help cut down paper consumption by 15,000 sheets
total units sold, a trustee shall not conduct or allow to execute the transaction arising conflict of interest with REIT. Clause 4 This Notification shall come into force as from 1 September 2014
decision to execute transactions for investment in two associate companies. In addition, the auditor could not reach a conclusion for the audit of the financial statements for Q3/2016 on the basis of (1
) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading
Phillip Securities (THAILAND) and the SEC?s further investigation, it was revealed that Pornthip had used blank trading orders authorized in advance with the signatures of five clients to execute unit sale
2016.In any case, investors should not disclose their usernames and passwords for investment consultants to execute trading orders on their behalf. Similarly, investment consultants must not seek
without any objection. Meanwhile, in the latter period, he sought approval from the clients on the broad pre-determined price ranges of derivatives and securities. Accordingly, he could immediately execute
selling of any securities ; (10) “ analysis of securities investment ” means an analysis of various data relating to securities to be used in advising or disseminating, whether directly or indirectly, the
) “analysis of securities investment” means an analysis of various data relating to securities to be used in advising or disseminating, whether directly or indirectly, the value of securities or the suitability