futures exchange, the SEC will include agricultural commodities under the Derivatives Act B.E. 2546 (2003) and allow TFEX to issue and providing trading venue for agricultural commodities futures. Trading
futures exchange, the SEC will include agricultural commodities under the Derivatives Act B.E. 2546 (2003) and allow TFEX to issue and providing trading venue for agricultural commodities futures. Trading
and adequate information in materiality for client?s investment decision making. Following a report on the client?s complaint filed by the Ministry of Finance, the SEC further probed into the case and
, the most common of which relate to policy and legal actions, technology changes, market responses, and reputational considerations. Commodities: involves buying, selling, or trading a raw product, such
Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the
, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was
Bangkok, June 10, 2014 - The SEC suspended two capital investment consultants, namely {A} and {C}, and a securities investment consultant {B} for trading securities on behalf of the client and
) Rectifying the operation under work systems, i.e., the trading system, the deposit and withdrawal system for money and digital assets, the client assets information system, the client contact and
ลงทุนตามสัญญาซื้อขายล่วงหน้าได้) ประสงค์ที่จะเข้าทำสัญญาซื้อขายล่วงหน้าประเภท Commodities derivatives กับคู่สัญญานิติบุคคลในต่างประเทศ เพื่อป้องกันความเสี่ยงจากความผันผวนของราคา Commodities โดยกำหนดมูลค่า