With reference to a public hearing on the proposed revision to the IT Standard conducted between 14 June and 15 July 2024, the SEC received a wide range of valuable responses from stakeholders. The
The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that
{G}, they failed to record some of client trading orders correctly and completely. In this regard, the SEC revealed their inappropriate actions and recorded such demerits for future reference if
damage to the client. With reference to the bank?s report on the client?s complaint and the SEC's further inspection, {A} was found to have signed on the unit redemption form of Bualuang Long-Term Equity
future reference in the case that a breach of duty is repeated.
}, a securities investment consultant of the same company, did not record their clients? securities trading orders. The three persons admitted that they took large amount of orders via mobile phone in
investment advice without any reference from analysis report or certification of Maybank Kim Eng Securities (Thailand) Plc. Certain statements contained in the said could make the client believe that he will
Mobile Initiative from The Asian Banker journal Best DCM House in Thailand for the second consecutive year from FinanceAsia magazine Five awards: Top Sellside firms in research - THB (2nd place), Top
Notification come into force. Clause 4. Any reference made in any notifications to the Notification of the Securities and Exchange Commission No. KorNor. 57/2543 Re: Rules, Conditions, and Procedures for