intention to conceal the fact and fabricating false evidence. She was employed by Phillip Securities (Thailand) Public Company Limited at the time of committing such offenses. Following a referral from
knowledge and information to the public in the northeastern part of Thailand. For example, the roles of the SEC in supervising the market and enhancing investor protection, giving of investment advice
for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company, claiming that such company was in the listing process of the Stock Exchange of Thailand (SET), when
Public Company Limited and Asia Wealth Securities Co., Ltd. respectively, when the misconducts were committed.In the case of Veerachai, Nomura was informed by the clients that they had transferred money
institutional and high net worth investors and an offering to a limited number of specific investors are more relaxed than those governing a general public offering.? However, recently there have been some cases
Bangkok, March 14, 2016 ? The SEC in cooperation with the Association of Investmeent Management Companies (AIMC) will jointly prepare Thailand: Institutional Investor Code as a guideline for
Securities Company Limited, had made trading orders before informing the client who did not make any objection and made payments for the trading transactions. The trading activities involved shares and
Under the IOSCO guidelines, international regulatory agencies jointly promote and endorse the financial education and investor protection campaign during the first week of October each year. The
research on the topic, ?Thai Investor Clusters and Their Financial Literacy? that new generation investors in general are more financially literate than older investors and cash holders, and have a more
investors. This is because institutional investors have the capacity to take care of themselves. However, the definitions of “institutional investor”* have been revised in accordance with the resolution of