without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam
facilitate existing agricultural futures business operators to continually provide services on agricultural commodities futures traded on TFEX. Meanwhile, investor protection will not be compromised and
public or instruments in which a fund plans to invest without the need to apply for an investment advisory license. The services provided by the said foreign CRAs are, however, limited only to permissible
. They must render services and perform duties honestly in compliance with professional standards and codes of conduct. On the other end, investors themselves must strictly abide by trading regulations
manipulate the share price of S.E.C. Auto Sales and Services Plc. (SECC) during September 12- November 24, 2008. All said trading activities took place in concealment to mislead the public to believe that the
nationwide, the governing regulations allow infrastructure funds to provide products and services to non-state clients as well. We welcome feedbacks and suggestions for further developing such instrument for
for the company in Hong Kong SAR, who provides services of gold futures contracts trading. The company has managed to have marketing officers to call and solicit investors to invest and sent out the
share price of S.E.C. Auto Sales and Services Plc (SECC) during September 12 ? November 24, 2008. The SEC also filed a separate complaint against Suriya for colluding with the said securities company
Center PLC (TUCC) during October 1 - 31, 2007, and S.E.C Auto Sales and Services PLC (SECC) during September 12 - November 24, 2008 by allowing the use of his trading account and facilitating price