securities business without license.The SEC received complaints from several foreign residents that they had been solicited to use services and advice of the offenders to make investments and later suffered

choose a default investment plan for members, for example, a life path-oriented plan that would adjust members? investment portfolios automatically and appropriately as they approach the retirement age

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

, known as the ASEAN Disclosure Standards, bringing about greater efficiency and cost savings to issuers.  The Scheme operates on an opt-in basis and ASEAN members will adopt the Scheme as and when they are

) and (2) of the Notification No. TorThor/Nor/Khor. 37/2553. The SEC therefore suspended her from duty as approved capital market investment consultant for six months. As for {C} and {D}, they had

year. And if they continue their investment for 20 years, the fund flow will rise to 24 billion baht. In case the return on investment is 5 percent per year, each worker will earn 4 million baht upon

Merchant Partner Securities PLC, respectively, they were named as defendants in the case for aiding and abetting Sagha?s manipulation scheme. This follows the SEC?s criminal complaint filed with the

? employees have represented themselves to the general public as gold futures trading agents of foreign companies. They have advertised and solicited investing public to open gold futures trading account and

months. ?Investor contacts must maintain trustworthiness and integrity in the profession. They must strictly comply with the regulations. The SEC will not tolerate, and will take legal action against

, are not much popular among the retail investors, in particular trading them in the secondary market. Perhaps, the investors are accustomed to buy-and-hold investment or they may not have sufficient