cash, things or services, more than those should be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary’s resources for wrongful action or support

investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis . Clause 2. This Notification

investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis. Clause 2. This Notification

responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board

The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies  because business structure in Thailand is characteristic of

, transmitted, received, kept or processed by electronic means. The terms “listed company,” “subsidiary company,” “related person,” “executive,” “major shareholder,” “controlling person,” and “consolidated

on the three offenders as follows: a civil penalty, compensation in an amount equal to the benefits received or would have been received, reimbursement of the SEC's investigative expenses, and barred

) has therefore resolved to impose civil sanctions** on the two offenders, comprising civil penalties, compensations in the amount equal to the benefit received or that would have been received

offenders, comprising civil penalties, compensations in the amount equal to the benefit received or would have been received, reimbursements of investigative expenses incurred by the SEC, and a bar from

three investor contacts (2) {B} for interfering with client's assets (3) {C} for sending inappropriate orders (4) {D} for failing to orderly keep the accounts of given advice and received derivatives