save and invest earnestly in order to meet life goals and have comfortable and secure retirement. The SEC always takes an active role to promote financial literacy for people from all walks of life
employees to have financial management and planning skills, better standard of living and ability to afford comfortable retirement. Under the program, human resource unit of each employer will play a key role
benefit.Following a report of Bualuang Securities Plc., on {A} case the SEC probed into the case and found that he used computer with Bualuang Securities' IP Address to submit the trading orders via client's internet
the period of three months, approximately. There was, however, no record of the client?s registration for the internet trading at the branch during such period. Atthapol admitted to Krungsri Securities
derivatives trading orders on behalf of a client. She admitted making trading decisions and sometimes submitting internet trading orders on behalf of the client. Moreover, {B} and Kantanapat, the securities
) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading
in an audiovisual format in a bid to respond to the changing behaviors of investors, who tend to use the Internet more as a channel to receive information and do not spend as much time on reading
via internet trading accounts of the clients. In case of {B}, the SEC found that he failed to record a large number of clients' securities trading orders. {B} admitted to his employer that he took those
เป็นระยะเวลานานกว่า 1 ปี ซึ่ง {ก} ยอมรับว่าเคยตัดสินใจแทนลูกค้า รวมทั้งเคยส่งคำสั่งทาง internet แทนลูกค้าบางครั้ง นอกจากนี้ พบว่า ลูกค้ารายดังกล่าวมีผู้แนะนำการลงทุนด้านหลักทรัพย์ที่ดูแลบัญชีอีก 2 ราย
the Internet, and the inconvenience for thorough reading of lengthy registration statements and prospectuses.The proposal is not expected to add much compliance cost because in practice issuers tend to