Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him

knowledge sharing session on “Development and Framework for Technology Risk Control,” lectured by SEC executives. The occasion included a discussion on supervisory guidelines for technology risk control by

Sithi-Amnuai along with executives and representatives from 38 securities firms, held a joint meeting to discuss and exchange views on guidelines for building trust and confidence in the Thai capital

, participated in a meeting to discuss guidelines on solutions for investment scams via Facebook Ads, chaired by Mr. Chaiwut Thanakamanusorn, Minister of Digital Economy and Society. Organized by the Ministry

Bangkok, January 19, 2016 ? The SEC is seeking public comments on draft rules and guidelines for supervising crowdfunding portals.The proposed rules aim to establish a standard framework for

to clients’ predetermined instructions as advised by securities brokers. ** The securities analysis and investment advisory to design a portfolio advisory that shows

etc. 3. Table summarizing financial status and performance of IPO shares, before and after getting listed on the Exchange.  Further information as well as instructions for accessing the “IPO Fact Figure

to other out-of-control wallets without client’ instructions. That actions incurred losses to others and public in violation of Section 85 of Digital Asset Businesses Law. It also violated Section 87

gratuity to the informer or the arrestor regarding the offences of insider trading or market manipulation to enhance enforcement efficiency.  The proposed regulations provide instructions for giving

consideration on persons entitled to apply for bounty, procedures and instructions for filing an application and bounty payment as well as handling of unclaimed bounty, for example. Nevertheless, commission or