diverse nature of the PF business, and maintain standards and quality of the business for the best interest of clients. The SEC conducted an initial hearing on the principles for amending the PF rules in
business with custody of clients’ assets; (3) 25 million baht for undertaking securities business in the category of mutual fund management or private fund management to provide
Thai capital market.?Adopting the global trend of ethical and responsible investment management and protection of clients? interest, the I Code consists of seven principles, two of which have already
investment to earn optimal benefits for investment owners and clients. Having such policy and close investment monitoring will encourage the invested companies to adopt good corporate governance and
clients' assets. In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the
substitution for trading orders sent by clients from trading room only.Failure to record the securities trading orders is in violation of Clause 20(3) while inappropriate submission of trading order form (Form
investment loss must be provided and records on giving advices to clients must be kept.
trading transactions of a client making orders in the trading room.Investment consultants must keep a full and complete record of all investment advice as well as clients? securities and/or derivatives
), submitted orders for clients to trade shares of Unique Engineering and Construction PCL., (UNIQ) in a manner that inflated the share prices. The order were split into a number of orders despite it could be
performance of PF/DF marketing agents, and (3) the compulsory seeking of clients? consent before disclosing their personal information. The consultation paper is available at www.sec.or.th. Stakeholders and