capital to increase flexibility. The SEC has also reviewed the haircut rates used in calculating the net capital to align them with the current situations and cover risks associated with various instruments
accounts and to transfer investment money into those accounts several times in the amount totaling 23 million baht. However, Phisit did not open the accounts for clients but used such money for securities
be used to enhance work process efficiency. This would lead to better data analytics and problem solving abilities. More collaboration with all stakeholders is our priority as well,? said Mr. Rapee.
there were nothing related, (3) showing registered capital as high as 20,000 million baht. In addition, it was found that an executive holds several identification cards under various names and used those
statistics, debt instrument issuance was used to raise fund in a great number; for instance, long-term bonds issued by listed companies accounted for almost 500 billion baht. Study on investor behaviors and
Investment Decisions and Disclosure Timing? showed that listed firms have used mergers and acquisitions for business expansion. Therefore, disclosure and quality of information is very important for the
Investor Code Working Group, which comprises the representatives from the SEC and the AIMC, is preparing the Code to be used as a framework for laying out policies and guidelines for operating business based
barred her from holding any securities company management positions for six years. In case of {B}, she had used a client trading account to trade AMC shares for another person. The SEC found that Somchai
, these five unlicensed firms are or used to be located at the same site at 400 Soi Ladprao 94 (Panjamitr), Wangthonglang, Bangkok 10230. From the SEC?s finding, these firms have operated derivatives
found that he had been authorized to trade securities on behalf of the client. He had also used his client's account to trade securities for the benefit of himself with one day permission and credit line