, 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
client and {A} indicated that the client may have entrusted {A} to make decisions on securities and derivatives trading for the client whose trading orders were unclear, and that {A} had made trading
by approximately 37.32 Million Baht 41.24% As a result of customer decisions and ongoing marketing. Cost of Sales For financial statement in Year 2018, the cost of sales was recorded at 76.98 Million
sufficient information before making investment decisions. In September 2024, the Capital Market Supervisory Board Meeting passed a resolution approving the proposal for amending the private fund management
additional rules regarding ICO advertisements. Essentially, such advertisements must refrain from enticing or pressuring investors into uncareful investment decisions. Moreover, they must not imply guaranteed