seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
The Securities and Exchange Commission (SEC), represented by Ms. Sarica Apiwatthakakul, Director of the Capital Market Education Department, welcomed instructors and students from the Department of
The Securities and Exchange Commission (SEC) welcomed instructors and students from Financial Engineering Program, School of Science and Technology, University of the Thai Chamber of Commerce, on
The Securities and Exchange Commission (SEC) organized a dynamic training program to enhance essential knowledge and investment insights for financial trainers. SEC Secretary-General Pornanong
later entirely cancelled. His intention in placing selling orders was to test the market, without intention to execute transactions, in such a way that misleads other persons regarding the price or
joined and assigned their executives and representatives to attend financial literacy training courses. The trainees then become the trainers working on knowledge transfer, activities or clinic within
service risk; (2) To revise the criteria for suspending digital asset business operations by requiring businesses that fail to maintain the capital to submit a rectification plan to the SEC and execute the
begun, {A} could not execute the ATO order in time and decided to execute the order at the market price (MP) instead without notifying the client in advance. As a result, the client received less
digital asset business operators. Essentially, the proposed amendment would allow digital asset fund managers to apply for a quota to execute foreign exchange transactions with financial institutions in