Bangkok, August 14, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board approved the streamlining of structured notes regulations to boost
) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading
found that {A} did not record a number for securities trading orders submitted for a number of clients. {A} admitted that he took trading orders via mobile phone.Failure to keep complete record of the
intermediaries.? The amendment proposal aims to strengthen IT security protection for intermediaries to cope with potential new types of risk arising from the use of new technologies such as mobile devices and
to consultation papers and more convenient participation in the hearing process. The website is accessible via multiple devices such as desktop, tablet and mobile phone, to fit the users
Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of
when the SEC lays out further guidelines for supporting SMEs access to capital market fundraising. 3) Launching mobile application SEC Check First and web-based application Retirement Checkup, SEC’s two
Bangkok, February 19, 2015 ? The SEC lifts up mutual fund rules to allow investment in derivatives and structured notes (SN) in line with international standards.Vorapol Socatiyanurak, SEC Secretary
Bangkok, February 25, 2014 ? The SEC Board approved private equity (PE) structured as trust or ?PE trust? to promote PE development, increase more fund raising channels for businesses and encourage
a number of orders via mobile phone. For {B}, the SEC probed into the case and found that she failed to keep complete record of a number of a client's securities trading orders and admitted that the