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Bangkok, July 7, 2014 ? The SEC is seeking public comment on revisions of client assets report of securities companies and derivatives brokers to be applicable to commercial banks and life-insurance
Facebook Page ชื่อ Manage future trade : Unlicensed securities and derivatives business (Disclosure Date : 16/07/2024)
Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market
Nowadays, asset management companies are required to separate investors’ asset from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian services to protect investors’ asset and stringent supervision on asset separation to keep private...
Facebook page “Manage Mutual Funds” impersonates “BBL Asset Management Co.,Ltd” : Unlicensed securities and derivatives business (Disclosure Date : 02/09/2024)
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the