One of the objectives of the Thai capital market development plan is to enable the public to access and utilize the capital market for savings and investment purposes. SET has taken steps to create opportunities and reduce restrictions to enable prospective investors to access investment services by taking advantage of technological advances which lead to the development of new financial service platforms that correspond with consumer behaviors today, including new services to sell mutual...
Management Co., Ltd., and Surasak Sakrittiron. Following the report from Tisco Asset Management Co., Ltd., the SEC probed into the case and found that Thanjira submitted the documents of buying/selling orders
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
that Sakorn solicited the person to purchase BSEC shares based on the insider information that OSK Investment Bank Berhad (OSKIB) in Malaysia was interested in buying BSEC shares from Bangkok First
February 26, 2014, reasoning that she intended to take profit for the client by selling out when the price increased and buying back when the price declined. Making trading decisions of securities in the
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