other businesses under other licenses and approvals granted by the SEC, namely brokerage, dealing and underwriting of securities, private fund management, and derivatives selling agent; 2. The IPO

for planning their investment such as continuous savings on a monthly basis, purchase of long-term equity fund (LTF) for tax planning and calculation of eligible selling date of LTF units with more

authorization. According to the conversation recorded, {B} had sent trading orders before notifying her client or sent out selling orders against of the client's instruction. {B} admitted that she had acted as

for asset allocation advice. From the meeting, the SEC received useful comments and suggestions on regulatory issues, such as securities offering and selling agents, and the issues of financial literacy

statements concerning purchasing raw materials, hiring for spare parts mold production, selling goods, assembling engines, as well as receiving of returned goods and disassembling of engines and spare parts

purchasing or selling; or inviting or offering any other persons to purchase or sell the company's shares, both directly or indirectly, and whether or not for his/her own or another person's benefit.  The

trading while the client did not reject the transactions. Besides, intra-day trading orders of a listed company's shares were found where the buying prices were higher than the selling ones, causing the

Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of

Directors and Audit Committee agreed that such transaction is appropriate and will provide an opportunity for CYBER to do business of selling electricity to Myanmar government. In addition, the agreement for

to set-off against losses resulting from her trading decision made on behalf of the client. She then falsely informed her client that the money obtained from selling the securities was transferred to