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
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
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
research on the topic, ?Thai Investor Clusters and Their Financial Literacy? that new generation investors in general are more financially literate than older investors and cash holders, and have a more
Bangkok, March 14, 2016 ? The SEC in cooperation with the Association of Investmeent Management Companies (AIMC) will jointly prepare Thailand: Institutional Investor Code as a guideline for