derivatives trading account. {A} admitted that he asked for internet trading account's username and password of a client who authorized him to use the account to trade derivatives trading for his own benefit
Bangkok, April 20, 2016 ? The SEC is seeking public comments on draft amendments to the rules concerning the categorization of salespersons and sales process of capital market products to promote
SEC has received information that Ronghui has invited retail investors to join certain investment by informing that their money will reinvest in real estate projects or investment projects of other companies, which offer high returns along with having minimum investment amounts and an investment period no more than one year. Promotions such as financial rewards or bonuses are also being publicized through telephone, leaflets, brochures, event booths at office buildings and Facebook adver...
other trigger funds under its management for the benefit of investors? comparative study and investment decision-making. Another focus of the draft rules is the supervision of advertising and sales
exceed 25 percent of the NAV as of the investment date; (6) Regulations related to concentration limit of the issuance value and/or liabilities of the invested business are exempted; (7) Sales
incorporated to allow the investing public to access and benefit from the capital market. The said integrated strategic moves aim to contribute to the sustainable growth of the Thai capital market. ?This
transfers, counterfeited the investor’s signature to execute redemption transactions, and used the ATM card to withdraw money from the banking account and spent it for her own benefit. Such wrongful acts
transactions as originally intended by the investors in the following business day. Instead, he spent the subscription money for his own benefit, causing the total damage of 449,500 baht to eight clients. SEC
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
reviewed to be more consistent with the current market landscape. This will benefit further development of international cooperation to be more comprehensive and efficient.