Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any
and responsibilities of intermediaries, and (3) promotion of investors? roles in perusing disclosed information before making investment decisions. The amended regulation is expected to promote entry of
securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
the report from Asia Plus Securities Plc., the SEC probed into the case and found that {A} had been authorized by her client to make derivatives trading decisions on the client' behalf. The client was
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
make securities trading decisions on behalf of the clients on a continual basis, for a high volume of trading transactions. In addition, the communications records indicated that she had taken trading
, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf
. Most were requests for information support, highlighting both the persistent threat of investment scams and a growing public demand for information assistance before making investment decisions or
verify and make informed investment decisions. The SEC has participated in these global efforts online every year since 2017. This year marks a special milestone with the introduction of onsite