manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions
her client regularly as well as reported to her client on the summary of profit and loss on a monthly basis. On March 12, 2012, {A} made trading decisions without the client's instruction and payment
such as games, counseling service, survey and instruction on Mobile App ?start-to-invest?. Those who download Mobile App ?start-to-invest? and show up at the booth will also be given a souvenir. The SEC
trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain
Bangkok, February 19, 2013 ? The SEC has reiterated securities companies to instruct investment consultants to give securities trading advice based primarily on fundamental factors of securities
Bangkok, March 27, 2013 ? The SEC has reiterated securities companies to instruct investment consultants to give securities trading advice based primarily on fundamental factors of securities
, could pose risk to the client. She also disregarded her client?s instruction and continued her improper actions. The SEC, therefore, suspends Kruawan from the status of approved investor contact for one
A New Year Gift 2023 to the public, “SEC Crypto Academy” is designed as an online channel for the public to learn fundamental knowledge on digital assets, gain a better understanding of risks related
Exchange of Thailand. The papers pointed out the significance of making prudent study on information and fundamental analysis of securities prior to making investment decision in order to mitigate trading