consideration on persons entitled to apply for bounty, procedures and instructions for filing an application and bounty payment as well as handling of unclaimed bounty, for example. Nevertheless, commission or

overseas as well as in Thailand.  The revised rules cover guidelines for advertisement and publication, areas of permissible marketing activities in Thailand and instructions of benefits received from

investment advice and the clients' trade order instructions. He admitted that he had advised his clients and taken orders via mobile phone.{A}'s actions were deemed as taking trading orders from a person being

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

obtaining the clients? instructions.  They cannot make securities and derivatives trading decisions on behalf of clients, regardless of the client's permission.  In this regard, the aforesaid {A}'s actions

customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities

securities trading orders from persons being neither account owner nor account owner's appointee; and failing to keep a complete record of trade order instructions; in violation of Clause 20(2) and (3) of the

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

public with long-term savings and investment options while fostering the transparent and sustainable growth of the Thai capital market. During the event, SEC Secretary-General emphasized the SEC’s role in

transparent and fair management in line with international standard good governance guidelines, we are building trust and confidence of in all parties involved, including stakeholders and market participants