the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered
Guideline for Internet Regulation แแนนววททาางงกกาารรกํ ากํ ากักับบดูดูแแลลกกาารรทํ าทํ าธุธุรรกกรรรรมมดดาานนหหลัลักกททรัรัพพยยผผาานนสื่สื่ออ oonn--lliinnee บทนํ า การใช Internet เปนสื่อในการ
regulator also discussed with Association of Investment Management Companies (AIMC) and Sasin Graduate Institute of Business Administration of Chulalongkorn University (Sasin) on the review on AIMC guideline
The Securities and Exchange Commission (SEC) and the Association of Thai Securities Companies (ASCO) co-organized the SEC 2024 Supervision Approach and Risk Management Guideline seminar to foster
emerging market situations.SEC has proposed to revise the guideline on maintaining liquidity of fixed income funds in order to match their redemption and settlement policies by requiring fixed income funds
Bangkok, 1 December 2017 ? The SEC is giving more focus to the regulation-for-growth approach to meet the demands of the public and all sectors of market participants more appropriately.Mrs. Waratchya Srimachand, SEC Senior Assistant Secretary-General, said: ?The capital market is undergoing significant changes, for example, technological disruption, wider linkage of global financial markets, increasing competition, change of behavioural patterns, and changing demands of fundraisers, business op...
Bangkok, September 10, 2013 ? The Securities and Exchange Commission (SEC) and the Association of Investment Management Companies (AIMC) agree on introducing investment risk management guideline and
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) และสมาคมบริษัทหลักทรัพย์ไทย (ASCO) ร่วมจัดงานสัมมนา SEC 2024 Supervision Approach and Risk Management Guideline เพื่อเสริมสร้างความเข้าใจ
SEC has issued the rules permitting the derivatives business operators or derivatives agent to carry out capital market product trading service in accordance with the Portfolio Advisory and Program Trading plans without being regarded as carrying out the securities business of private fund management or derivatives fund management, respectively. These rules have been in effect from 16 May 2019, with the objectives to ensure that assistance on portfolio advisory and program trading is made...