Bangkok, October 29, 2014 ? The SEC is seeking public comment on draft regulations on prevention and management of conflicts of interest and proprietary trading applicable to business operators. The

SEC Secretary-General Ruenvadee Suwanmongkol said: “Today, SEC has issued the Notification prescribing the standard single form for opening an account for investment in all types of capital market

Bangkok, September 20, 2013 - The SEC imposed a one-month suspension on {A}, a derivatives investment consultant of Asia Plus Securities Plc. for trading derivatives on behalf of her client.Following

Eng Securities (Thailand) Plc. that {A} had been authorized by two clients to make securities trading decisions on their behalf. Before this matter was reported to the company, {A} had told her branch

make securities borrowing and lending (SBL) trading decisions on the client's behalf in the client's cash account; thereby causing damage to the client. {B} admitted that he had obtained the

Special Investigation (DSI) on account of failure to perform duty in good faith causing damage to the company and siphoning company?s benefit through securities trading transactions. From the SEC?s probe

into their trading accounts but the money was not deposited in the clients? accounts. The SEC?s further investigation revealed that Veerachai had replaced the name of the actual account owner on the

)    Rectifying the operation under work systems, i.e., the trading system, the deposit and withdrawal system for money and digital assets, the client assets information system, the client contact and

directly with business operators overseas which will enable investors to transmit their own online trading orders in addition to the current channel where investors have to open an account which is a sub

(Thailand) Plc, the SEC probed into the case and found that {A} had traded the securities on the client's securities account without client?s order and resulted in the trading loss. In addition, several