Bangkok, February 19, 2013 ? The SEC has reiterated securities companies to instruct investment consultants to give securities trading advice based primarily on fundamental factors of securities
Bangkok, March 27, 2013 ? The SEC has reiterated securities companies to instruct investment consultants to give securities trading advice based primarily on fundamental factors of securities
to the public and they have access by virtue of their office or position. PCL, Mr. Pranay and Mr. Manish jointly use the inside information to instruct PAPL to buy 7,940,100 shares of PTL in PAPL’s
case of a retail client, the securities company shall have sufficient information or documentary evidence to ascertain the client investment objectives, knowledge, understanding and experience regarding
, knowledge, understanding and experience regarding securities investment, financial status and ability to pay debt of such client in order to use such information to assist in reviewing of the account opening
opening the account. In case of a retail client, the securities company shall have sufficient information or documentary evidence to ascertain the client investment objectives, knowledge, understanding and
clearing and settlement related to or because of a client’s derivatives trading. The benefits, the controlling power or the financial support under Paragraph 1 may arise from an agreement, an understanding
, but only with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of