members to keep pace with the emerging risks and challenges caused by technological advances. The Thai SEC is among the inaugural group of 23, out of 130, securities regulators that are approved to become
decision on securities and derivatives trading.The SEC and related organizations will closely cooperate and keep abreast of information with effect on investment in SET and TFEX to allow investing public to
exchange-traded fund (ETF) listed on the world leading securities exchanges. Investors interested in DR investment must keep updated on information about underlying foreign securities from various sources
Kacha Buacharoon, a securities investment consultant of Phillip Securities, for failure to keep complete records of clients? securities trading orders.Following the investigation report of Phillip
respondents agreed with the principles and the proposed amendments to such regulations. The SEC has therefore issued the amendments* with the key points as follows: (1) DA operators are required to keep
Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such
from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his
notification can keep the client’s assets into its custody. Such custody of assets must be only for institutional investors or non-provident fund clients with the securities and assets of more than one million
Office. Clause 11. The custodian granted with an approval under this notification can keep the client’s assets into its custody. Such custody of assets must be only for institutional investors or non