obtaining the clients? instructions. They cannot make securities and derivatives trading decisions on behalf of clients, regardless of the client's permission. In this regard, the aforesaid {A}'s actions
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities
securities trading orders from persons being neither account owner nor account owner's appointee; and failing to keep a complete record of trade order instructions; in violation of Clause 20(2) and (3) of the
authorization that {A} had obtained to make securities trading decisions on the clients' behalf.In performing their duties, investment consultants can send trading orders only when obtaining instructions from
procedures for change of agent to collect and receive payments of debt. Currently, regulations have not been prescribed for the said matters.To ensure that the private sector will have clear guidelines for
SEC is proposing amendment to the guidelines for supervising auditors and audit firms in the Thai capital market to enhance the audit quality oversight of audit firms and promote the development
policies and guidelines for working together on September 25, 2019 at the SEC Office. They shared the opinion on driving the capital market with guidelines to support SMEs to access funding sources in the
Learning,” aimed at enhancing participants’ knowledge and experience in finance and investment. This session also provided students with guidelines for their future careers after graduation. The event took
," focusing on measures and guidelines to encourage and support businesses in the Thai capital market to effectively apply HRDD in their operations. The event took place on 28 February 2024, in Bangkok.
Greenhouse Gas Management Organization (TGO), the Fiscal Policy Office (FPO), and the Stock Exchange of Thailand (SET) to discuss guidelines for regulating carbon credit trading under the draft Climate