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

three application forms into one, and reducing the required supporting documentation from 19 to 7 documents.  The proposed actions above are expected to help cut down paper consumption by 15,000 sheets

instructions from the clients.  They cannot make securities trading decisions on behalf of clients, regardless of the client's permission. In this regard, the actions of {B} and {A} were deemed as obtaining

responsible for the operation of the reporting entity?s orders or action, failure to give instructions or perform their duty, such person may also liable to the penalty under the said Acts.SEC Secretary-General

trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain

such trading.In performing their duties, investment consultants can send trading orders only when obtaining instructions directly from the client.  They cannot make decisions on behalf of clients

since GSTEL is currently in the process of debt restructuring and seeking funds from external source with aim to enhance its balance sheets and improve their financial strength. Thus, the financial

is working on enhancing the ASEAN Collective Investment Schemes (CIS) framework by further harmonising disclosure standards through common product highlight sheets and prospectuses, and reducing

risks and returns depending on different factors, terms and conditions. It is important to seek details of the funds to be invested from selling agents as well as request and study the fund fact sheets

59 Instructions for filling out Form 59 คำอธิบายในการกรอกแบบฟอร์ม 59 จัดทำขึ้นเพื่อให้ผู้มีหน้าที่รายงานมีความเข้าใจวิธีการกรอกข้อมูลการเปลี่ยนแปลงการถือหลักทรัพย์และสัญญาซื้อขายล่วงหน้า อย่างไรก็ดี