such permission.In performing their duty, an investment consultant can send trading orders only when obtaining orders from the clients. Even with the client?s permission; they cannot make decisions on
trading orders only when obtaining orders from the clients. Even with the client's permission; they cannot make decisions on behalf of the client. In this regard, {A} and {B}'s actions were in violation of
months. Owing to the fact that {A}'s approved securities investment consultant status only lasts until December 31, 2014, his approved status was suspended until that date while the rest of suspension
market investment consultant for 6 months. As {A}'s approved capital market investment consultant status only lasts until December 31, 2014, his approved status was suspended until that date while the rest
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
public or instruments in which a fund plans to invest without the need to apply for an investment advisory license. The services provided by the said foreign CRAs are, however, limited only to permissible
must be sold to institutional investors only; (4) An individual or a group of individuals may hold investment units at an amount not exceeding one third of the total units sold, except for those granted
Baht fine. The jail term was suspended for two years. The later, on August 22, 2019, The Appeal Court only reversed the judgment of the Criminal Court, not pending for punishment. - On August 11
a Novation Agreement and any other agreements, which are necessary and related to the asset sale for the acceptance of ownership transfer in the ERU Project. However, the company will be able to enter