make sure that the clients would open a separate trading account from a traditional one and prepare service agreements and comply with the existing rules on work systems and professional duties.In light

In the 27th ACMF Meeting at Singapore on 10 October 2018, Thailand’s SEC, as a chair of a working group, has introduced “ACMF Pass,” a framework to facilitate cross-border movement of investment

high returns. PE focuses on long-term investment with a specific period of time in a start-up or high potential businesses. The funds will be managed by professional finance manager supervising for

, liability of listed company will rise.??Investment analysts must adhere to professional standards and exercise due care when giving advice or opinion with impact on investment decision. Their opinion should

market competitiveness, foster sustainable development, promote financial literacy and long-term savings for public and improve corporate governance and enforcement. The plan also goes on to promote

Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with

Bangkok, July 6, 2015 - The SEC filed a criminal complaint with the Economic Crime Division of the Royal Thai Police (ECD Police) against (1) Professional Portfolio International Ltd. (PPI), (2) Eric

derivatives on behalf of client was failure to perform duties with responsibility and due care as the capital market professional under the Notifications of Capital Market Supervisory Board concerning personnel

The SEC supervises intermediaries? efficiency with an emphasis on risk management, suitable business model and risk profile of each securities house.? SEC Assistant Secretary-General Paralee

management companies on practicing front running scheme, the SEC probed into the case and found that Sopana, who was K-Asset Vice President from November 2009 to November 2010 and SCBAM Senior Executive Vice