asset management companies are already required to prepare and disclose to the unitholders. In drafting the regulations, the SEC took into account the feedbacks received from the business operators during
received large incentive amount; over 90 percent of which was from the account of this client. Trading securities on behalf of client and seeking benefits from the client during the performance of duties
permitted {A} to make further securities trading decisions. Besides, the securities and derivatives trading volume in the client?s account was high during the misconduct. Trading securities and derivatives on
units of long-term equity fund (LTF) bought in 2013 in order to invest in another fund. After reviewing the LTF investment account of such client, {A} informed the client that selling LTF investment units
Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved capital market investment consultant for six months. Taking into account that he had
capital market investment consultant for five months. Taking into account that {A} had already been suspended by her employer for three months, the suspension imposed by the SEC shall remain two months
prices in the approximate periods that caused the client to suffer loss, eventually. {A} received large incentive amount; over 90 percent of which was from the account of this client. Trading securities on
allows to take care of his/ her securities trading account. The investment consultants must perform with their securities companies? rules strictly and do not meddle with the client?s assets and trading
, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Securities and