advisors as well as knowledge enhancement of securities firms and investor contacts regarding product features and clients? risk profiles. Meanwhile, the SEC is promoting investor education to help investors
model and creating anti-corruption culture for Thai private sector.Meanwhile, the SEC has encouraged listed companies to be aware and well-rounded of business risks, particularly risk of cyber-attacks, to
knowledge in investment products among investors while urged intermediaries to be well-prepared. AIs will have more investment choices in more complicated and risky investment products denominated foreign
Bee filed a cancellation notice to his broker, Globlex Securities Co., Ltd., in order to void the purchase transactions has no effect on the Sub-Committee?s opinion as well because the purchases of EIC
Bangkok, July 17, 2013 - The SEC revoked approval as well as disclosed inappropriate behavior of {A}, a capital market investment consultant of Kasikorn Securities Plc. Following the report from
, experiences and outcomes of financial and investment education as well as risk management. The cooperation will also address the contents and communication to target groups, integrated cooperation and
market. This includes revising the governing rules to allow relevant parties to perform their duties effectively, as well as strengthening the roles of chief financial officers (CFO).Prakid Punyashthiti
Bangkok, April 4, 2013 ? The SEC will revise the rules determining the proportion of investment unit holdings in retail funds to allow greater dispersion of unit holdings, as well as to ensure no
orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such