: Rules on Personnel in the Capital Market Business, as amended. (Executives are subject to penalties twice as higher than those imposed on investment consultants).

investment. The SEC thus encourages capital market business personnel, especially investment consultants, investment analysts and personnel who provide services of making decisions on investment for investors

investors can better understand the fund features and investment risks. Meanwhile, rules on selling practice of investment consultants have been revised accordingly.The consultation paper can be found at

investments and verify information before making investment decisions. Lists of SEC-approved investment consultants, business operators and investment products can be conveniently checked via the SEC Check

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