trading decisions for the client. From examination of communications records, there was no sources of the orders; just transaction confirmations made by such investment consultant and the conversations
make securities trading decisions on behalf of the clients on a continual basis, for a high volume of trading transactions. In addition, the communications records indicated that she had taken trading
major operational disruption; (3) Procedures for communications with relevant internal and external parties which at minimum shall include the method and channel of communications and information
caused the on-ground marketing activities, media communications and promotions to delay in order to adopt more effective sales and marketing mix that is differentiate and able to be - Translation - Page 3
Sustainable development in the environmental area has become an important goal both nationally and internationally. The public sector implements policies that support continuing environmental
sustainability goal, and the promotion of long-term savings to support the aging society, an important goal under the National Strategy. The key takeaway from this meeting is that the SEC will provide policy
National Strategy, the 12th National Economic and Social Development Plan and the Capital Market Development Plan. Currently, PVD is a major source of savings to support employees’ post-retirement living
has studied and conducted a regulatory mapping between Thailand and Luxembourg to support Thai companies that are ready for listing overseas. The study shows that Thai debt securities issuers can
importance of being adaptive and flexible to new opportunities arising from the change in behaviours of market players in the capital market. The SEC Thailand firmly believes that this MoU will support the