? former investor contact, {B}, had sent trading orders through the client's account without record and evidence of trading orders. His misconduct caused damage to the client and the firm dismissed him from

Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of

suspending the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns investment consultants not to submit trading orders on the client?s behalf even the client

compliance with the company's rules*. The SEC, therefore, sanctioned the said four persons by suspending the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns

channel anytime. {A}'s actions were deemed non-compliance with investor contact's standards of conduct of Clause 14(7) of the SEC Notification No. SorKhor 49/2552 Re: Approval for Investor Contacts and

reference. 4 Notification of the Securities and Exchange Commission No. Kor Khor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals

reference. Notification of the Securities and Exchange Commission No. Kor Khor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals

reference. Notification of the Securities and Exchange Commission No. Kor Khor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals

Rules on Application for and Granting of Approval to Undertake Trust Business (No. 2)

Rules, Conditions and Procedures for Approval of the Securitization Project (No. 2)