derivatives trading account. {A} admitted that he asked for internet trading account's username and password of a client who authorized him to use the account to trade derivatives trading for his own benefit
The SEC has recently issued a rule revising the definitions of institutional investor, ultra-high net worth investor and high net worth investor* used for investment in financial products under
, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved the relaxation on rules applicable to mutual funds for AIs (institutional and high net worth investors). The relaxed
price. The information was about allowance for doubtful account on 26 trade accounts receivable worth 43.99 million baht which resulted in TUCC?s 104.86 million baht loss in Q2/2011. Yongyuth also gained
stability of the high yield bond market as well as offer an alternative for high net worth investors to make investments through professionals instead of investing directly in such instrument.Earlier, on 16
GJS will seek the annual general meeting’s resolution to ratify the financial support transaction for GSTEL in the form of short-term loan worth not exceeding 94 million baht without any collateral
portal. Apparently, in 2014, there was a drastic growth of fund raising through crowdfunding worldwide worth about 6 billion US dollars. The SEC supervises equity-based crowdfunding where investors? fund
receipts to high net worth investors, except institutional investors, must be done through intermediaries.Senior Assistant Secretary-General Prakid Punyashthiti said: ?The current rules allow high net worth
transfers, counterfeited the investor’s signature to execute redemption transactions, and used the ATM card to withdraw money from the banking account and spent it for her own benefit. Such wrongful acts
person under consideration; the penalty he/she has already served; the impacts, loss or benefit incurred; any steps taken to rectify past conduct; the cooperation or obstruction with SEC’s investigation