, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are
Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading
Bangkok, December 19, 2006 ? In reference to the trading plunge on the Stock Exchange today, the SEC is urging foreign investors to pay close attention to all facts before making careful and well
Following the tips from various sources to SEC, there have been solicitations for investment in securities and/or product that may be liable to be digital asset (called by many names such as coin
: investglobalmanagement.com show messages soliciting foreigners in Thailand to invest in securities such as stocks, mutual funds and structured notes on a trading platform, and the investors who use the service are subject to
processing and confirming the redemption orders in violation of the tax terms; (3) In the case of {C}, she was found to approve the redemption orders in the Bank’s investment unit trading system
Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
and relevant to the client's investment decision. From the Stock Exchange of Thailand's securities trading inspection report on Electronics Industry Public Company Limited (EIC), the SEC further probed
derivative warrants of 90 companies, amounting to the total trading value of approximately 130 million baht.By accepting a client's assignment to make investment decisions for the client, {A} failed to perform