principle of widespread distribution to general subscribers without specific allocation to any particular individual (cherry picking), and must not be an arbitrage in evasion of regulatory compliance
Bangkok, 7 October 2016 ? The SEC is seeking public comments on the proposed amendments to the initial public offering (IPO) rules with regard to share allocation to patrons and related persons of
Bangkok, February 17, 2016 ? The SEC is seeking public comments on proposed amendments to the initial public offering (IPO) rules. The amendments aim to facilitate sufficient share distribution to
consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to
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
Bangkok, 25 February 2019 ? The SEC is seeking public comments on the proposed rules for intermediaries to provide assisting tools to asset allocation and investment planning. This would allow
On 10 November 2022, the SEC Board Meeting No. 15/2565 passed a resolution approving the SEC’s proposal for amending the regulations related to quota allocation for foreign exchange transactions of
retirement?. Presented at the Forum were the study on major exchange volatilities which are interrelated during the crisis and the study allocation of investment suggesting that starting plan for retirement
assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth
Following a report from Krungthai Zmico and SEC’s further investigation, it was found that during 22 - 24 November 2017, Niparporn placed the right to IPO allocation of three clients to the clients