her client regularly as well as reported to her client on the summary of profit and loss on a monthly basis. On March 12, 2012, {A} made trading decisions without the client's instruction and payment
such as games, counseling service, survey and instruction on Mobile App ?start-to-invest?. Those who download Mobile App ?start-to-invest? and show up at the booth will also be given a souvenir. The SEC
trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain
") Volunteers Foundation Network of Communities for Disaster Alerts and Warnings Project. The aim is to actively assist communities in sustainable water management and enhance the efficiency of disaster
, could pose risk to the client. She also disregarded her client?s instruction and continued her improper actions. The SEC, therefore, suspends Kruawan from the status of approved investor contact for one
. Furthermore, the SEC has implemented preventive measures against investment scams from the start, such as issuing alerts and educating the public about investment scam tricks and collaborating with relevant
creation and dissemination of investment scam alerts via various channels of the SEC and news media outlets. The SEC receives support from both public and private sectors to effectively communicate these
securities businesses, dissemination of standard reference prices, acting as bond information center for both the primary and secondary markets, as well as posting news and investor alerts promptly. Moreover
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
B.E. 2535 (1992), the Securities https://publish.sec.or.th/nrs/2544pe.doc Translation retain such record until all the procedures are completed. In the case where the advise, trading instruction or