investors. Such new regime would promote a market environment conducive to competition in line with the Ease-of-Doing-Business Policy of the public sector. The new regime would also keep the existing
can provide investors with information for decision-making and in doing so, they also help strengthen the development of the Thai capital market.” Mr. Paul P. Andrews, Managing Director, Research
shall prepare a monthly account, and when derivatives business operators stop doing businesses or are suspended from operating their businesses to segregate customer assets from the derivatives broker
a trading order from the client's securities trading account without her client's order. {A} admitted doing such action, reasoning that she was unable to contact the client at the time the share
passwords, as was similarly the case at Globlex. In so doing, {A} also made a profit sharing agreement with certain KTB clients. KTB has already terminated her employment.{A}'s misconducts were deemed (1
, without derivatives fund management license, had jointly managed funds for others for profits from derivatives investment. In so doing, they solicited and invited persons who wanted to invest in
ever-growing asset management business by, for example, relaxing several requirements. In so doing, appropriate investor protection is maintained, and more investment choices promoted.? Such amendments
แข่งขันในตลาดทุน ซึ่งสอดคล้องกับนโยบาย ease of doing business ของภาครัฐ การปรับปรุงครั้งนี้ ยังคงคุณสมบัติของผู้ที่จะได้รับใบอนุญาตไว้เช่นเดิม และปรับปรุงให้ค่าธรรมเนียมไม่เป็นภาระเกินควรต่อผู้ประกอบธุรกิจ
associates for their own benefits or others’, consequently causing damage to NUSA. In so doing, (5) Ms. Varinborn Chantarojvanich, the seller of Panacee, and (6) Mrs. Chomsuda Rungruangnavarat, an authorized