of Contract for Difference (CFD) with several underlyings such as gold, crude oil and stock index. This is a speculation for the difference between the current value of an the underlyings without
31 March of each year may be used instead. This is to ensure that the fee calcualtion is based on more updated information. In any case, the fee rates remain the same without any revision. The
necessary or do not keep pace with situations or remain obstacles to livelihoods or engagement in occupations will be abolished or revised to lessen burdens on people. By doing so, methods used must be done
client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent
SEC is conducting a public hearing on the principle excluding promulgation of research analysis among investors in ASEAN countries from being regarded as the activity of investment consultant, in order to increase opportunities for, and facilitate, investors to access information of products in ASEAN capital market, and to complement an initiative of ASEAN Capital Markets Forum (ACMF) which aims to facilitate cross-border investment in the ASEAN region. SEC has already put in place rules...
case of REITs and Infra Trusts, a trustee must notify the trust manager of their resignation not less than 90 days in advance. The trust manager must notify the public by Electronic Company
and submit the findings and views to public prosecutor who has authority to prosecute the case against the offenders. The consideration of whether person is guilty or not is thereafter vested on the
complainant fell into the trap and later suffered damage from the investment.PPI office was located at 209/1 K Tower, Sukhumvit 21 (Asoke), Klongtuey Nua, Vadhana, Bangkok. Furthermore, PPI used website
by January 16, 2015.ABC ceased its garment business operation and did not utilize its land and building previously used for such business. In this year, ABC sold the assets and transferred revaluation
or a fine not exceeding 300,000 baht or both and a further fine not exceeding 10,000 baht for every day during which the violation continues.The SEC therefore filed a criminal complaint with the ECD