abreast of the market situation, to be able to make decisions to trade capital market products on behalf of their clients, provided that consent from the clients must be obtained and such investments

in becoming the wealth advisor.The wealth advisor may choose to carry out the wealth advice services according to its business model within the scope of the license obtained and must have the

caution when using services of securities business operators, derivatives business operators or digital asset business operators who have not obtained a respective license, as well as foreign digital asset

, cash flow within the group, and monthly payment made to seven aiders and abettors.  The SEC also obtained statement from some suspects admitted the facts regarding the control of the manipulating scheme

regard to any claim of high return of investment, and check whether the solicitor has obtained a license or approval properly. Public fundraising through securities offering needs prior approval while in

? from MAC capital reduction.This is the case where AC and IFA have different opinion from BROOK board of directors and the transaction has an impact to the price and benefit that BROOK should be obtained

obtained by virtue of their positions to sell shares and warrants of Unique Mining Services Plc. (UMS) and also imposed a fine on Patra Chalermsaphayakorn as an aider. The Settlement Committee imposed a

continuously conducted to learn of investor behaviors, evaluate knowledge level and satisfaction towards the SEC?s investor protection mechanisms. The feedback so obtained will be beneficial to the SEC?s

companies or executives, news release or media interview should be given when the SEC approval has been obtained and accounting issue has been concluded. Giving new release or interview concerning projected

, they can seek advice on IPO and listing requirements from financial advisors, auditors, the SET and the SEC. Participants obtained the SEC?s approval for going public within 2014 will be awarded a plate