the relevant regulation*. The SEC is also proposing to stipulate a minimum Authentication Assurance Level (AAL) for clients’ online transactions via the company’s system based on associated risks
inappropriate transactions or illegal actions may be committed and evade detection. Such circumstances would consequently affect confidence in securities business and the capital market at large; (2) Custody
Patcharee Thuttumrongchai as capital market investment consultant for six months and one month, respectively, starting from December 25, 2015. The SEC?s further inspection has revealed several defective core
selling clients’ investment units in multiple transactions. She illicitly used other employees’ login credentials to approve the redemption of investment units and the withdrawal of redemption proceeds
orders were sent through over the internet and under her securities trader ID while the client acknowledged and did not reject the transactions. {A} admitted that she was the one submitting all trading
Bangkok, June 3, 2016 ? The SEC has revoked approval of an equity investment consultant named Veerachai Pasutanon and a capital market investment consultant named Jakkrit Hongnakorn, for committing
Earlier, the SEC conducted a public hearing on proposed principles and draft amendments to the regulations for submission of granular data related to clients' assets and transactions of business
mule accounts and suspicious transactions, while strengthening investor confidence and enhancing long‑term transparency in Thailand’s capital market.”
December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine
Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's