no permission from the SEC. There were lots of victim falling into such pitfalls these days. The SEC has issued investor alerts in this matter and further placed emphasis the need for the public to
}, without informing the client, continued trading securities in an attempt to recover loss in this account. Also, it was found in the recorded conversation that {A} asked another client for permission to
include, the following matters: (1) Determination of types and characteristics of investible assets based on principles instead of specific details; (2) Permission for mutual funds to invest in more
instructions from the clients. They cannot make securities trading decisions on behalf of clients, regardless of the client's permission. In this regard, the actions of {B} and {A} were deemed as obtaining
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
including real estate equities, infrastructure equities, multi- strategy real asset solutions and real asset debt. PSG manages separate accounts, registered funds and opportunistic strategies for
https://www.sec.or.th/TH/Documents/strategicplan/strategy-2566-01.pdf PowerPoint Presentation ้ส าหรับกลุ่มเป้าหมาย เกี่ยวกับความรู้ด้านการ วางแผนการลงทุน ผลิตภัณฑ์การลงทุน (Traditional product และ
/strategicplan/strategy-2566-01.pdf PowerPoint Presentation ้ส าหรับกลุ่มเป้าหมาย เกี่ยวกับความรู้ด้านการ วางแผนการลงทุน ผลิตภัณฑ์การลงทุน (Traditional product และ Digital asset ) และกลโกง การลงทุน B. เสริมสร้าง