debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or securities dealing: (1) commercial banks; (2
undertake securities dealing that is limited only to debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or
investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
that during 4 January 2013 - 15 October 2014 {A}, then working for Thanachart Securities Public Company Limited, used the trading account of a client who was his mother to trade securities for himself
Commission No. KorThor. 4/2543 Re: Custody of Client Assets of a Securities Company By virtue of Section 14 and Section 98(3) of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange
: Custody of Client Assets of a Securities Company By virtue of Section 14 and Section 98(3) of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the
. The major causes could be concluded as follows: 1. In the second quarter of 2018, the company had income from sales services and electricity sales by subsidiary company amounting to Baht 276.54 Million
indices have been largely influenced by the fundamental factors in the U.S. ?Noise trading behavior analysis in the SET? was presented as the second research paper. Although the 2010 study concluded that
meeting concluded that SEC would revise the supervision regulations which are problematic or unnecessary (regulatory guillotine) and consideration would be given to the differences in business models