Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 (No. TorLorThor. 3/2555) while trading on behalf of client and making securities
, claiming that the fund will be used to make investment in stock and derivatives exchanges. In addition, Yuttana held himself out as investment advisor, offered advice and obtained benefits from giving advice
Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was
giving advice on trading derivatives contracts with underlyings of gold, precious metals, oil and foreign currencies, in a foreign market beyond the scope of permissible businesses granted to her employer
rules for giving of investment advice and providing service related to trading of investment units, mutatis mutandis, except the case where specific requirements have been specified in this Notification
advance about the hours and days on which such order will not be placed; (2) complying with requirements as specified in the Notification of the Capital Market Supervisory Board relating to rules for giving
on which the advice is given or order is placed, as the case may be. However, should there be any customers’ complaint relating to the giving of advice or placing of order whose proceeding has not been
case may be. However, should there be any customers’ complaint relating to the giving of advice or placing of order whose proceeding has not been completed within such period, the record of such advice
, determination of investment policy, regular company performance monitoring, discussion with company management, exercise of voting right at shareholders? meeting and giving emphasis to reasons or necessity of