of this amendment is to ensure that customer complaints are handled appropriately, especially in the case where the operator failed to comply with relevant regulations. It also aims to ensure that
trading transactions regularly. In case of doubtful authenthicity, investors should seek clarificatioin from the back office of such securities firm. It should be reminded also that money for trading
suspension on {A}, effective from 1 November 2017. In the case of {B}, she committed similar acts by signing on the subscription order of a client without contacting or giving advice to the client. Instead
, no one had made any investment following the solicitation by such scheme.In the case of Lederer (Thailand) and its authorized director Kanyakorn, investors were persuaded to make an investment at the
case. _______________________ * Related SEC News No. 70/2017
required in case of offering long-term debentures to high net worth investors. The issuer's ability to comply with the repayment terms must be disclosed more clearly as well. ?We conducted a public
instructed EARTH to clarify information in this case on 16 March 2018, and according to SEC News No. 37/2018, the SEC extended the deadline for EARTH to clarify the information relating to the existence and
diversify their services more efficiently.”In any case, to provide any of the two services above, intermediaries have to make an agreement with their clients regarding portfolio advisory with execution or
, the rules, which are currently in effect, should be revised with respect to maintenance of NC in case of abnormal increase in transaction volume of the business operator to the effect that the