Bangkok, October 16, 2015 ? The SEC will pay a closer attention to investors? behaviors and factors influencing their decision making as more studies show rationality is not the only criterion for making an investment in a mutual fund. The SEC studies on behavioral finance have revealed that investors tend to take many other factors into consideration as well when making a decision to invest in a mutual fund. Such factors include emotion, personal belief and attitudes toward different channels o...
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to
client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s
worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
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 considers revising the regulations on the offering for sale of investment in shares held by listed companies or their subsidiaries in order that the shareholding can be conveniently
would show a bigger picture of their contribution, in terms of work time, productivity and otherwise, to their respective work, and whether their multiple employments are likely to raise competition or
elevate their audit work quality to be on par with bigger audit firms. This means the work plan that the SEC supports is a success and the quality of small and medium-sized audit firms is on the rise. In
bigger than that of SME pursuant to the Law on SME Promotion (for example, a company with revenue more than 300 million baht in the trading and service businesses) are eligible to raise fund by issuing and
) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A