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การขายชอร์ตและการส่งมอบหลักทรัพย์ เพื่อการบริหารความเสี่ยงจากการทำหน้าที่เป็นผู้ดูแลสภาพคล่อง (market maker)ของบริษัทหลักทรัพย์ และการจัดการทรัพย์สินลูกค้าเมื่อเกิด internal short

http://law.sec.or.th/content/3012/5065/1#5065

SEC issues rules to facilitate investors’ use of alternative tools to increase investment efficiency

. ____________________ * The execution of trading orders of capital market products based on an automated program that runs product selection and trading placement without interference from any factors and according

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7420

Notification of the Office of the Securities and Exchange Commission SorNor. 5/2553

Establishment of Mutual Funds and Execution of Agreements for Establishment of Mutual Funds and Execution of Agreements for Management of Private Funds (No. 2)

http://capital.sec.or.th/webapp/nrs/nrs_main_search_en.php?chkPost=1&chkNo=1&doc_id=5313&SearchNo=

Notification of the Office of the Securities and Exchange Commission SorNor 19/2553

Establishment of Mutual Funds and Execution of Agreements for Management of Private Funds (No. 4)

http://capital.sec.or.th/webapp/nrs/nrs_main_search_en.php?chkPost=1&chkNo=1&doc_id=5370&SearchNo=

Notification of the Office of the Securities and Exchange Commission SorNor 14/2553

Establishment of Mutual Funds and Execution of Agreements for Management of Private Funds (No. 3)

http://capital.sec.or.th/webapp/nrs/nrs_main_search_en.php?chkPost=1&chkNo=1&doc_id=5377&SearchNo=

Notification of the Office of the Securities and Exchange Commission SorNor. 15/2554

Establishment of Mutual Funds and Execution of Agreements for Management of Private Funds (No. 8)

http://capital.sec.or.th/webapp/nrs/nrs_main_search_en.php?chkPost=1&chkNo=1&doc_id=5638&SearchNo=

Notification of the Office of the Securities and Exchange Commission SorNor. 10/2554

Establishment of Mutual Funds and Execution of Agreements for Management of Private Funds (No. 7)

http://capital.sec.or.th/webapp/nrs/nrs_main_search_en.php?chkPost=1&chkNo=1&doc_id=5601&SearchNo=

Notification of the Office of the Securities and Exchange Commission SorChor. 1/2555

Establishment of Mutual Funds and Execution of Agreements for Management of Private Funds (No. 10)

http://capital.sec.or.th/webapp/nrs/nrs_main_search_en.php?chkPost=1&chkNo=1&doc_id=5748&SearchNo=

Notification of the Office of the Securities and Exchange Commission SorNor. 4/2557

Establishment of Mutual Funds and Execution of Agreements for Private Fund Management (No. 15)

http://capital.sec.or.th/webapp/nrs/nrs_main_search_en.php?chkPost=1&chkNo=1&doc_id=6259&SearchNo=

SEC bans a former investment consultant for 4 years and 8 months due to wrongful acts against an investor’s asset

demonstrating inappropriateness for acting as capital market business personnel. Investors are strongly advised not to give passbooks and signed withdrawal slips to investment consultants to facilitate execution

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8738