positions while his capital market investment consultant status was also suspended, effective from September 6, 2014. Three capital market investment consultants, namely {B}, {C} and {D} as well as a
explanation to the SEC accordingly. In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities
the transactions and permitted {A} to continue trading in attempt to recover loss incurred in the trading account.In performing their duties, investment consultants can send trading orders only when
Lane and Ratanaporn Aoonta for operating securities business without license.The SEC received a complaint from a foreign investor that he had been solicited by the financial and investment consultants of
authorization that {A} had obtained to make securities trading decisions on the clients' behalf.In performing their duties, investment consultants can send trading orders only when obtaining instructions from
service and investor protection as a number of investment analysts and investment consultants will be increased and able to meet investor?s demand. Accordingly, investor will obtain proper investment advice
procedures to ensure that investment consultants regularly distribute investment research to investors. Lack of investment research on small and medium market capitalization listed companies was concerned by
Notification of the Office of Securities and Exchange Commission concerning Approval of Auditors in Capital Market during the previous approval period; ( (3) Other requests for approval (which are not subject to
Notification of the Office of Securities and Exchange Commission concerning Approval of Auditors in Capital Market during the previous approval period; (3) Other requests for approval (which are not subject to
submit their requests to SEC within 90 https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8535 SEC public hearing on proposed rules for submission of digital asset transaction data and related