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

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

stance will bring confidence, and help fostering market mechanism and standard practices that they can follow. For investors, appropriate regulation can incentivize market solutions to help investors

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

หมายถึง ใช้เกณฑ์เดียวกับ IPO และเลขท่ีข้อ ท่ีระบุในตาราง หมายถึง เลขท่ีข้อ ในร่างประกาศว่าด้วยการขออนุญาตฯ IPO ภาค 2 หมวด 1 ส่วนท่ี 1 PO ปกติ ภาค 2 หมวด 2 ส่วนท่ี 1 PO fast track ภาค 2 หมวด 2 ส่วนท่ี 2

proposed rules (fast-track feature) would facilitate a faster PO launch because the SEC?s consideration period would be shortened to 14 days concurrently with the cooling period. They would also allow a

: Breaking Thailand’s Stagnation – Uniting Top Leaders to Fast-Track Economic Transformation” จัดโดยสมาคมนักศึกษาสถาบันวิทยาการตลาดทุน (สวตท.) ซึ่งมีเป้าหมายเป็นเวทีแห่งความร่วมมือ พร้อมทั้งเปิดโอกาสให้ผู้นำ