consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to
SEC Assistant Secretary-General Kumpol Sontanarat said that SEC has recently provided additional service for the capital market. The open data database contain 10-year historical records of fund raising activities both in equity and debt securities including the details of the fund mobilizers by industry, companies and individual instruments.SEC has been continuously developing the open data service in many forms which can be accessed via SEC website. The data can be downloaded through SEC...
Essentially, the draft proposal aims to allow three more types of businesses to participate in the Regulatory Sandbox to support more efficient provision of capital market services, namely: (1) securities brokerage, securities dealing, securities underwriting, mutual fund management and securities borrowing and lending (SBL) (currently only investment advisory and private fund management businesses are eligible for the program), (2) derivatives clearing house business, and (3) the securit...
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
for three more years (2024-2026), and to expand the fee deduction scope to include consulting expenses for the preparation of carbon footprint disclosure. In this regard, the deductible amount would
and system development for the company. The details on above transaction assignment were as follows : (1) Transaction date : January 1 - December 31, 2019 (2) Transaction parties involved Service
Commercial Coordination Co., Ltd., who is a connected party to be responsible for sales management and system development for the company. The details on above transaction assignment were as follows : (1
client in an unprofessional manner.The actions of {C}, {D}, {F}, and {G} were deemed performing duties beyond the scope of employment, taking advantage of client by virtue of duties, and using client