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

shares, or equivalent to 66 percent of SUTG’s issued and paid-up shares. SUTG is engaging in the business of a construction contractor, provision of service regarding the operation and maintenance, and a

equivalent to 66 percent of SUTG’s issued and paid-up shares. SUTG is engaging in the business of a construction contractor, provision of service regarding the operation and maintenance, and a consultancy