Sucharitakul, the SEC?s Secretary-General, revealed that the Capital Market Supervisory Board approved the revision of regulations to facilitate debt securities offerings. An approval of two year program will be
? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders
obtaining authorization from client to make securities trading decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and
the transactions. Failure to record the client's securities trading orders and obtaining authorization to make securities trading decisions on behalf of the client are, respectively, in violation of
, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are
previous period of last year as follows (1) Revenue from sales of program rights increased 30.53% (2) Revenue from advertising and media services decreased 89.49% and (3) Revenue from sales of products
ลักษณะเป็น Plain Vanilla Coupon Bond แต่ตราสารดังกล่าวใช้ชื่อว่า Structured Notes ที่ออกภายใต้ Structured Note Program เนื่องจากธนาคารได้ขออนุญาต
information to the press at the monthly media briefing in July 2024. The briefing covered the SEC’s law enforcement activities, enforcement statistics, short selling and program trading regulations, and
The Securities and Exchange Commission (SEC) welcomed participants of the capacity-building program for support staff prior to their promotion to the advanced specialization level at the