Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
นางสิริวิภา สุพรรณธเนศ รองเลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมบรรยายในงานสัมมนาเรื่อง The State of Play In Sustainability Assurance จัดโดย ASEAN Federation of
own assets to create financial freedom.”Currently 26 business operators have been approved by SEC and it is expected that the number will increase respectively. The approved business operators can
Companies (ASCO), the Thai Life Assurance Association (TLAA), and the Thai General Insurance Association (TGIA). Following their first declaration of intent of collective anti-corruption on March 11 last year
) Elevating the e-KYC standard, which SEC would issue a guideline for the licensed entity to introduce the technology in getting to know the clients, to strengthen the assurance on their Know Your Client
proper investment management are concerned. To account for these concerns, international organizations and leading countries have laid out their own I Code. Furthermore, I Code is now one of the criteria
client’s account to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a
to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a specific amount
institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may
institutional clients of registered derivatives dealers and derivatives fund managers, considering that the institutional clients are capable of making their own investment. The institutional clients may