>วันที่ตอบ : 03/03/2563 คำถาม : (1) ผู้ประกอบธุรกิจ exchange ด้านสินทรัพย์ดิจิทัลให้ market maker (“mm”) กู้ยืมเงิน
การขายชอร์ตและการส่งมอบหลักทรัพย์ เพื่อการบริหารความเสี่ยงจากการทำหน้าที่เป็นผู้ดูแลสภาพคล่อง (market maker)ของบริษัทหลักทรัพย์ และการจัดการทรัพย์สินลูกค้าเมื่อเกิด internal short
Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC suspended approval granting to {A} as a capital market investment consultant for three months; according to the sanction
, 2012. In this regard, the SEC suspended her from duty as an approved capital market investment consultant for a period of five months. Taking into account that she has already been suspended for two
Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the
Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report
Bangkok, January 14, 2015 ? The SEC suspended Acting Sub-lieutenant Saroj Wannamanomai, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of
Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete
Bangkok, July 20, 2016 ? The SEC is seeking public comments on the proposed rules governing provision of investment services to promote intermediaries? competitiveness in the securities brokerage and derivative agent business and respond to investors? changing demands. The proposed rules would allow investment consultants (IC) and investment planners (IP) to render more services related to securities and derivatives trading within the scope of investment pre-determined by their clients. In any...
Bangkok, December 24, 2013 - The SEC will not consider an application for approval as capital market personnel in case of {A}, a former securities investment consultant of Thanachart Securities Plc