securities trading account to trade securities for others and accepting authorization to make securities trading decision on behalf of client, in violation of Clause 20(1) and (2) of the Notification of

client's child, as well as sometimes taking orders via mobile phone.{A}'s actions were deemed as obtaining authorization from client to make securities trading decisions on behalf of client; taking

indicated that {B} had obtained authorization to trade gold futures for the client. The client then acknowledged and accepted the trading as reported by him without any enquiries.  The acts of {A} and {B

authorization that {A} had obtained  to make securities trading decisions on the clients' behalf.In performing their duties, investment consultants  can send trading orders only when obtaining instructions from

conversions seemed to set investment framework for {E} to make trading decision and then inform the client afterward. This could be considered as misconduct for obtaining authorization to make derivatives

, EU-Asia Pacific Regulatory Forum, SFC Regional Securities Regulatory Leadership Symposium and ASIFMA Gala Dinner. At the meetings, senior securities regulators and top executives from private sector

In the second phase of the “ESG Product Platform” development, the SEC has introduced further information and details on “sustainability-themed bonds”; e.g., the list of top 10 issuers, detailed

in setting the directions, policies, and organizational practices (Tone from the Top), which are crucial for ESG initiatives and sustainable growth of organizations. The training session was held at

Technology or Behavioral Finance at Top 100 universities according to the QS World University Ranking in 2018.   The SEC Scholarship Application Form is available at www.sec.or.th. For more information and

จาก 86 องค์กร ประกอบด้วยบริษัทหลักทรัพย์ บริษัทหลักทรัพย์จัดการกองทุน บริษัทหลักทรัพย์นายหน้าซื้อขายหน่วยลงทุน ผู้ประกอบธุรกิจสินทรัพย์ดิจิทัล และตลาดหลักทรัพย์ ในรูปแบบ Virtual Table Top Exercise