Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
Eng Securities (Thailand) Plc. that {A} had been authorized by two clients to make securities trading decisions on their behalf. Before this matter was reported to the company, {A} had told her branch
Bangkok, February 11, 2013 - The SEC imposed a one year suspension on {A}, a capital market investment consultant of Finansia Securities Plc., effective from February 8, 2013; and also disclosed
limitations. As a result of this proposed amendment, the Regulatory Sandbox would cover both pre-trading and post-trading activities in the capital market. The consultation paper is available at https
to provide securities trading services according to the order of the account owner or the authorized person3. The SEC therefore suspened approval of {B} and {C} as capital market investment consultant