. The SEC therefore suspended them from duty as approved investment consultant for one month. For {C}, the SEC received a report from her employer that she failed to record some of her client trading

to certain types of personnel; for instance, wealth advisor who gives advice on asset allocation and selects suitable securities for individual client, investment analyst, and fund manager, in

orders via mobile phone.Making securities trading decisions on behalf of the client and failure to record the client's securities trading orders are, respectively, in violation of Clause 20(2) and 20(3) of

} did not record a number of client's securities trading orders. Certain records found in the course of inspection indicated that he prepared the securities trading report for the client by using trading

trading transactions of a client making orders in the trading room.Investment consultants must keep a full and complete record of all investment advice as well as clients? securities and/or derivatives

collateral placement for a client's KTB securities trading account. Panadda was responsible for the said trading account and she also had a personal relationship with the client who was the account owner. She

clearing house receives from a member, whether it is owned by the member or its client, for use as collateral for securities clearing and settlement that the member is responsible to the securities clearing

take the following action: (a) In the case of sale of investment units: 1. The mutual fund management company shall reduce the number of investment units of each relevant investment unit buyer in a

undertake any action to cause the minority shareholders to sell their shares in RPV, totaling in the amount of 100 percent of the shares to BCPG Public Company Limited (“BCPG” or “Buyer”). The Company is the

the first paragraph, shall be engaged in only if the securities company or its client, as the case may be, is a market maker or a major participating investor under the requirements of such ETF . In