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
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
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
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
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
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