such solicitor to ensure proper legal protection. A list of licensees is available at the SEC?s website (www.sec.or.th) while a list of those not licensed by the SEC can be viewed under ?Investor Alert

be assisted in transition throughout the process by capital market professionals, including business restructuring, arrangement of proper internal control systems as well as preparation of accurate

that rationale is not the only factor influencing investment decision making while the regulator should put in place proper regulations to protect investors and provide appropriate investment

Currently, securities companies provide margin loan services to investors to enhance opportunities for higher returns on investments. However, the SEC has observed that many stocks used as

, and high momentum stocks (stocks that would yield similar returns in the future as in the past), but the performance of the funds are not as high as the returns of the stock that the equity funds

proper qualifications for business undertakings, in terms of operational systems and personnel, i.e., the absence of fund managers for continuous client support even though there were trading transactions

.? These kinds of incidents took place repeatedly, but the company which was under his direct supervision did not conduct proper examination.?In 2014, the SEC found a similar misconduct and took legal action

found defects in the work performance of three branch managers at two branches, namely (1) {I}, who failed to exercise proper discretion in solving problems when detecting deceitful acts, and (2) {J} and

. Revised version: new report submitted by the reporter to replace theold one. Chain principle: indirect acquisition of stocks by the reporter, triggering a tender offer. Search Form 246-2 NVDR https

report submitted by the reporter to replace theold one. Chain principle: indirect acquisition of stocks by the reporter, triggering a tender offer. Search Form 246-2 NVDR https://www.set.or.th/nvdr/th/info