capital market investment consultant for 3 months, effective from June 16, 2015.The investment consultant is unable to make any trading decisions on behalf of the client even with the client's permission
no permission from the SEC. There were lots of victim falling into such pitfalls these days. The SEC has issued investor alerts in this matter and further placed emphasis the need for the public to
}, without informing the client, continued trading securities in an attempt to recover loss in this account. Also, it was found in the recorded conversation that {A} asked another client for permission to
include, the following matters: (1) Determination of types and characteristics of investible assets based on principles instead of specific details; (2) Permission for mutual funds to invest in more
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
such permission.In performing their duty, an investment consultant can send trading orders only when obtaining orders from the clients. Even with the client?s permission; they cannot make decisions on
trading orders only when obtaining orders from the clients. Even with the client's permission; they cannot make decisions on behalf of the client. In this regard, {A} and {B}'s actions were in violation of
years of Stock Exchange of Thailand index (2015-2017) the CAGR was situated at 10.8 per year. Therefore, the 1.43 Baht per share conversion price is reasonable. After considered the both transaction, the
. Comparing to the growth rate of the return over 3 years of Stock Exchange of Thailand index (2015-2017) the CAGR was situated at 10.8 per year. Therefore, the 1.43 Baht per share conversion price is
investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian services to protect investors’ asset and stringent supervision on asset separation to keep