securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and

giving of information advice to investors. The SEC notified the survey?s result to the Thai Bankers? Association and urged asset management company that appointed commercial bank as its selling agent to

market investment consultant of Finansia Syrus Securities Plc.The SEC found from its routine inspection that {A} frequently failed to keep records of his advice and clients' securities trading orders.  He

Analyzing Investment and Giving Investment Advice dated January 18, 2012. Consequently, the SEC suspended {A} as an approved securities investment consultant for one month.

advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992

knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC

(“Global”)’s advice. Furthermore, Global used website: : www.globalinvestments.net and www.Qropdirect.com to lure investing public that it had a team of experienced and expert investment consultants to

several foreign residents to use services and advice of PFS to make investments. Furthermore, PFS advertised on www.fsplatinum.com that PFS was the administration office of Platinum Financial Services

advice of PFS to make investments. Furthermore, PFS advertised on www.fsplatinum.com that PFS was the administration office of Platinum Financial Services Limited Hong Kong, which specialized in a diverse

Mr. Andrew Wood Mr. Andrew Wood colluded with PFS International Consultants Co., Ltd. (“PFS”) and other alleged offenders in soliciting several foreign residents to use services and advice of PFS to