investments and verify information before making investment decisions. Lists of SEC-approved investment consultants, business operators and investment products can be conveniently checked via the SEC Check
securities for the client's account. Besides, communication records between {A} and his client showed his promise to payback. Making trading decisions on securities in the client's account without the client's
advantage of the auditor?s report before making investment decisions and be able to apply it appropriately for stakeholders? best interest and the sustainable development of the reilable financial reporting
calling 0-2237-1199. Investors are strongly advised to consult the License Check banner at www.sec.or.th before making investment decisions. Information on suspecious unlicensed securities business
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
trading decisions for the client. From examination of communications records, there was no sources of the orders; just transaction confirmations made by such investment consultant and the conversations
February 26, 2014, reasoning that she intended to take profit for the client by selling out when the price increased and buying back when the price declined. Making trading decisions of securities in the
securities trading decisions on behalf of client was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended Atthapol from
companies. Those companies? performances can be compared at ease and thus allows the users to make investment decisions more efficiently. ?Bond Supermart? centralizes information of liquid corporate bonds in
and disseminated false statements, which caused an impact on the GL securities price and investors’ investment decisions. Such information also contradicted the information GL had disclosed through the