normal investment methods, or guarantee principal return. Some lie that they are a legally licensed company or a member of a foreign business network, and thus are not required to obtain a license from the

funds that may not have already accepted retail investors. Previously, mutual funds were allowed to invest in SET-listed infrastructure funds or those offerred to retail investors only; (3) Relaxation of

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

ASEAN capital markets.? The foreign CRAs allowed to provide voluntary rating, though not required to obtain the investment advisory license, must meet the following criteria: -?operating credit rating

Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and

) Plc., committed dishonest acts during 2006-2008. She deceived a foreign investor into affixing his signature on a blank securities withdrawal/transfer form, claiming that the client could not receive

that NUSA paid to Miss Varinborn, the seller, was not transferred into the seller’s account, while the directors and executives of NUSA, i.e., Mrs. Siriya, Mr. Visanu and Mr. Nontawat as well as their

that NUSA paid to Miss Varinborn, the seller, was not transferred into the seller’s account, while the directors and executives of NUSA, i.e., Mrs. Siriya, Mr. Visanu and Mr. Nontawat as well as their

that NUSA paid to Miss Varinborn, the seller, was not transferred into the seller’s account, while the directors and executives of NUSA, i.e., Mrs. Siriya, Mr. Visanu and Mr. Nontawat as well as their

that NUSA paid to Miss Varinborn, the seller, was not transferred into the seller’s account, while the directors and executives of NUSA, i.e., Mrs. Siriya, Mr. Visanu and Mr. Nontawat as well as their