One of the objectives of the Thai capital market development plan is to enable the public to access and utilize the capital market for savings and investment purposes. SET has taken steps to create opportunities and reduce restrictions to enable prospective investors to access investment services by taking advantage of technological advances which lead to the development of new financial service platforms that correspond with consumer behaviors today, including new services to sell mutual...
Management Co., Ltd., and Surasak Sakrittiron. Following the report from Tisco Asset Management Co., Ltd., the SEC probed into the case and found that Thanjira submitted the documents of buying/selling orders
per annum, with the promise that the company would repay the principal and generate the guaranteed returns gradually every 30 days until the investment contract expired. At the time of the inspection
interest guaranteed by the Ministry of Finance, and bills issued by the Bank of Thailand. For further details of this public hearing, please visit https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=961
that Sakorn solicited the person to purchase BSEC shares based on the insider information that OSK Investment Bank Berhad (OSKIB) in Malaysia was interested in buying BSEC shares from Bangkok First
February 26, 2014, reasoning that she intended to take profit for the client by selling out when the price increased and buying back when the price declined. Making trading decisions of securities in the
trading accounts regularly, as prepared by the responsible securities companies, and not to fall for promises of guaranteed returns because investment in the capital market could either yield profits or
securities is not allowed. Moreover, none of the current provisions support the appointment of representative for holders of no guaranteed bond that issued by government agencies which, if allows, could be a
result, the price and trading volume of PICO’s shares were not in a normal market condition, and investors in general were misled to understand that a large number of investors were interested in buying
session. Besides, {A} admitted that she advised the client to sell the other securities to settle the buying order which the client agreed and asked her to submit the selling order via mobile phone