Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk
safekeeping of additional documentation of such business operations. The key points of the proposed amendments are as follows: (1) DA operators would be required to keep records related to the
without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions
that meet additional criteria. The draft revision aims to streamline the PO application procedures for the offeror who has no records of inappropriate corporate governance practices and whose shares are
order to maximize benefit for the Company, the Management decided to manage liquidity by invested in short-term promissory notes of Asia Capital Group Public Company Limited in the amount of THB 100
accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts
Notes 20,538.01 Foreign Currency Bonds 103,007.18 Basel III Subordinated Debt) 10,000.00 IC Bond 2.Foreign Juristic Persons Foreign Juristic Persons Commercial Papers Long-term Bonds Structured Notes
Bangkok, February 19, 2015 ? The SEC lifts up mutual fund rules to allow investment in derivatives and structured notes (SN) in line with international standards.Vorapol Socatiyanurak, SEC Secretary
Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of