knowledge and understanding in capital market products and services before making investment decision. Those questions include ?What are the risks and rewards of the investment??; ?What kinds of investors are
Bangkok, June 25, 2015 - The SEC suspended {A}, a former capital market investment consultant of Phillip Securities (Thailand) Public Co., Ltd., for making trading decision on client's behalf and
for investment decision making. SEC Secretary-General Vorapol Socatiyanurak said the SEC in collaboration with the Association of Thai Securities Companies (ASCO) urges each securities house to conduct
general, or the investors may not have received correct or sufficient information to support their investment decision making. Clause 13 If any one of the following characteristics is met, the SEC Office
correct and sufficient information for supporting the decision to invest. Clause 8 In case a certain fact appears to the SEC Office after an applicant has obtained an approval for offer for sale of newly
investment decision, investors should exercise their own judgment when considering detailed information relating to the issuing company of the securities and the conditions of securities, including the
decision to execute transactions for investment in two associate companies. In addition, the auditor could not reach a conclusion for the audit of the financial statements for Q3/2016 on the basis of (1
that investors can have information for decision-making. At the same time, STARK was also instructed to extend the scope of its special audit to cover a number of material issues and clarify related
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