}, the capital market investment consultant received trading orders from the person who was not owner of securities trading account without any written  authorization letter. From the recorded conversation

person undertaking derivatives business without obtaining proper authorization from the SEC in contravention of Section 16 of the Act shall be criminally liable under Section 125 of  the Act. The SEC

orders of derivatives and shares in large volumes without the client’s authorization. When the client’s account suffered a large amount of loss, {A} tricked the client into depositing more cash into the

} assured his colleague that it was the client’s decision. Therefore, the transaction had been executed. However, when the authorization documents were brought to the client for signature, the client

ของการกำกับดูแลกิจการที่ดี โดยมี ศ. ดร.พรอนงค์ บุษราตระกูล เลขาธิการ ก.ล.ต. กล่าวต้อนรับ และบรรยายในหัวข้อ “Governance – An Essential Ingredient of Sustainability” นอกจากนี้ ดร.ประสาร ไตรรัตน์วรกุล อดีต

is an essential component for investors to consider in their investment and ownership decisions. The focus on governance in Investor Climate Action Plans (ICAPS) this year underscores the importance of

essential to establish regulations ensuring that Thai securities companies, under the supervision of the SEC, implement stringent processes and systems for screening and monitoring. This will ensure that

from the Beer Buffalo Gags Channel, and “Trust Me, Investing Is More Essential Than You Think” by “Na Nake,” Mr. Katesepsawat Palakawong Na Ayudhaya. These sessions will share experiences, insights

comments on the draft amendments to the relevant regulations,** with the essential points as follows:            (1)  Requiring the audit firms in the capital market to maintain a minimum of four

, and subsequent amendments on 26 and 27 August 2025, the SEC has determined that there is still ambiguity and a lack of essential information, particularly concerning the data and rationale CIG used to