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
advice on derivatives investment without approval through many channels such as website, YouTube, email, phone, SMS and Line application. {A} and {B}, then investment consultants at KGI, cooperated with
) 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
Alert list. The application is easy and swift to navigate on the phone screen. One must only type in a name, to know whether it is approved, licensed, qualified, or registered under the supervision of
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
submitting orders via mobile phone before re-submitting the orders via the phone recorder in order to make up the evidence that the client had made her own trading decision. The investigation found that {A
misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the
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