Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the
derivatives trading within the scope of investment pre-determined by their clients. In any case, provision of such additional services must comply with supervisory rules and investor protection guidelines. The
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
Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension
, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment
2016.In any case, investors should not disclose their usernames and passwords for investment consultants to execute trading orders on their behalf. Similarly, investment consultants must not seek
that Sakorn solicited the person to purchase BSEC shares based on the insider information that OSK Investment Bank Berhad (OSKIB) in Malaysia was interested in buying BSEC shares from Bangkok First
Cryptocurrency is a financial innovation that is exposed to high volatility. Investment in this digital asset thus requires knowledge and understanding and a risk profile that is not so sensitive
material to {X1} Company share price. The purchases were made through trading accounts of his son in which Sumit was an authorized person. In late 2012, {A} learned of the information concerning {X1} Company
A study of intraday trading behavior around tick size changes A study of intraday trading behavior around tick size changes Roongkiat Ratanabancheun, Kanis Saengchote Chulalongkorn Business School