The Securities and Exchange Commission (SEC), in collaboration with the Federation of Thai Capital Market Organizations (FETCO) and the Thai Digital Asset Operators Trade Association (TDO), co
the case of Thai national holiday, selling agent may exercise own discretion whether to trade investment units providing that the service information must be disclosed to investors in advance. In
, recipient countries of those foreign inflows, should be cautious of possible asset price fluctuation associated with capital surge, caused particularly by carry trade strategy. To cope with such situation
misconduct occurred. Following the inspection report of Globlex Securities Company Limited, the SEC further probed into the case and found that {A} convinced a client to trade securities and derivatives. He
Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus
Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report
based on reasonable evidence indicating that the said persons agreed or conspired with former executives of a securities company in using their own trading accounts or other persons? to manipulate the
) Mrs. Nipa Cholsaipan, (7) Miss Namthip Cholsaipan, (8) Mr. Suraphong Triamchanchai, (9) Nippon Pack (Thailand) Public Company Limited (NPP) (NPP has been changed to Global Consumer Public Company
. Nipa Cholsaipan, (7) Miss Namthip Cholsaipan, (8) Mr. Suraphong Triamchanchai, (9) Nippon Pack (Thailand) Public Company Limited (NPP) (NPP has been changed to Global Consumer Public Company Limited