The SEC Secretary-General together with the Management Team convened a joint meeting yesterday with the Investment Banking Club led by President Mr. Somphop Keerasuntonpong to discuss cooperation in the development and enhancement of fundraising regulations, emphasizing the mutual assistance in screening companies offering securities for sale to the public and applying for listing on the stock exchange. The two parties also discussed the enhancement of fundraising supervision and the roles of fi...
manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions
securities trading account without any written authorization from the account owner. He admitted that both clients were siblings and the account owner asked her brother to submit trading orders without prior
consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
? 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
clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the
authorization, consequently causing damage to the client. She was working for Globlex Securities Co., Ltd. when the misconduct was committed.In the case of {B}, according to a client's complaint, his employer
practicality and fairness.The proposed revision would allow asset management companies a grace period for increasing the number of the unitholders of listed funds, including exchange traded funds and index funds
high net worth individual only. To widen investors? investment choices of increasing return or creating variety and complexity of investment strategy, the AI funds will be allowed to invest in