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
TikTok account "okj.stock_market" impersonates "Pluk Phak Praw Rak Mae Plc." : Unlicensed securities and derivatives business (Disclosure Date : 06/11/2024)
client's child, as well as sometimes taking orders via mobile phone.{A}'s actions were deemed as obtaining authorization from client to make securities trading decisions on behalf of client; taking
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investment through obtaining ownership of assets: suitable for infrastructure assets with transferable ownership such as https://www.sec.or.th/EN/Pages/LAWANDREGULATIONS/INFRASTRUCTURETRUST.aspx English
Bangkok, February 18, 2013 - The SEC imposed a five-month suspension on {A}, a securities market investment consultant of Bualuang Securities Plc., and a three-month suspension on {B}, a securities
in the capital market business, the SEC Office shall reject the application for obtaining the approval thereof. Clause 33 In case a person obtaining an approval from the SEC Office to be a personnel in
, designing mutual funds according to the investment policy, assets to be invested, payment period, investors’ expectation regarding unit selling, risk monitoring throughout the scheme term, obtaining diverse
obtaining the clients? instructions. They cannot make securities and derivatives trading decisions on behalf of clients, regardless of the client's permission. In this regard, the aforesaid {A}'s actions
submission of an application for obtaining approval to be personnel in the capital market business and a renewal of such approval shall be in accordance with the rules, conditions and procedures for