re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} for three months and {B
Co. Ltd. that {A} had been authorized by his clients to make securities trading decisions on the clients' behalf where he frequently made trading decisions with relatively significant volume. He
According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant
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
on behalf of clients.Following the report of Kasikorn Securities Plc., the SEC probed into the case and found that {A} had been authorized by two clients to make derivatives and securities trading
securities trading account on 4 March 2016 and 18 April 2016, and proceeded to purchase PERM shares in other securities trading accounts, as follow: - Miss Natthaporn Yongwongpaiboon's account on 5
account on 4 March 2016 and 18 April 2016, and proceeded to purchase PERM shares in other securities trading accounts, as follow: - Miss Natthaporn Yongwongpaiboon's account on 5 April 2016, 18-20