operators.?Increased investor access to the capital market will help boost public awareness in the importance of personal finance. It will contribute to a rising numbers of investors, of course, not only in
program trading has not started in Thailand, lessons learned from foreign stock exchanges can illustrate the importance of a thorough knowledge and understanding of the practice of program trading. This may
trading has not started in Thailand, lessons learned from foreign stock exchanges can illustrate the importance of a thorough knowledge and understanding of the practice of program trading. This may help
which will expire by December 31, 2012, the suspension period shall therefore remain until then and the SEC will not consider his renewal application for another six months. The SEC also publicly
until then and the SEC will not consider his renewal application for another six months. The SEC also publicly reprimanded {B} for his inappropriate behaviors in performing duties as an investment
showed that a number of clients' securities trading orders were not completely recorded. For {C}, the first investigation revealed that she failed to completely record her advice and a client's securities
orders were sent through over the internet and under her securities trader ID while the client acknowledged and did not reject the transactions. {A} admitted that she was the one submitting all trading
derivative warrant but did not inform the client of maturity date. In addition, there was no source of trading orders of her clients where {A} described that the clients submitted trading orders via mobile
application for renewal of approval can be filed with the SEC within March 31, 2012.?Although those affected, when compared with all listed companies and securitiescompanies, may not be a large number, the SEC