SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of
Minority Shareholder. “During the course of assessment, the SEC proactively participated in the revision and promotion of various measures to enhance minority investor protection, resulting in the
Thavaramara said: ?Investors are strongly advised to monitor their trading transactions and money transfers, and make sure to transfer money directly to the account of the responsible intermediaries only. Also
seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
misconduct above – taking the investor’s assignment to make decisions on trading of securities and derivatives and fabricating that certain derivatives trading orders were sent by the investor – was deemed
Under the IOSCO guidelines, international regulatory agencies jointly promote and endorse the financial education and investor protection campaign during the first week of October each year. The
SEC Secretary-General Ruenvadee Suwanmongkol said: “The International Organization of Securities Commissions (IOSCO) has designated the World Investor Week 2019 during 30 September – 6 October to
World Investor Week is a global campaign promoted by the International Organization of Securities Commissions (IOSCO) to raise awareness about the importance of investor education and protection. The
sectors convenience for issuing debt securities for fund mobilization while putting in place an appropriate mechanism for investor protection as debt securities is indeed an investment choice. Hence, the
Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the