According to the SEC Strategic Plan, the goal of building competitiveness can be achieved through standard rules and regulations. In this regard, the regulatory guillotine scheme,* which focuses on review of rules and regulations to maintain only necessary ones and ensure effective enforcement, can help SEC build a body of standard regulations in line with the changing environment without compromising appropriate investor protection and convenience for business operation.The SEC therefore...

trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received

? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders

found that {A} did not record a number for securities trading orders submitted for a number of clients. {A} admitted that he took trading orders via mobile phone.Failure to keep complete record of the

client had ordered to sell 50,000 shares at 19 baht per share on February 25, 2014 but {A} instead submitted the selling orders for 49,000 shares at 17.50 baht per share. {A} admitted doing such action

. The client, however, did not reject the transactions. Furthermore, most of internet trading orders were submitted via IP Address of KTB Securities.Panadda, in addition, admitted that she was responsible

accounts. Those orders were submitted without sources and {ก} admitted that he took trading orders via mobile phone. In addition, he received the trading orders from one client for another client's

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

presence in the international arena and enhance competitiveness and opportunities of business operators and participants in the Thai capital market. The hosting opportunity would also help to enhance the

Capital Nomura Securities PLC., a number of securities trading orders from an account of {A}'s client had no supporting evidence for a period of time. {A} admitted to Capital Nomura Securities PLC., that he