, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf
manager must make use of employee?s saving and employer?s contribution in the specified order. First, fund manager must invest or seek benefits under such employee?s previous investment policy. If the fund
investment advice without any reference from analysis report or certification of Maybank Kim Eng Securities (Thailand) Plc. Certain statements contained in the said could make the client believe that he will
, in consistence with the current market conditions. Moreover, as the SEC aims to enhance investors? knowledge and encourage them to make prudent investment decision based on proper information, the new
, gain more knowledge about financial products and be able to make more efficient investment decision,? said Mr. Vorapol.
investors to make use of CRA information and rating to evaluate credit risk of targeted instruments more efficiently and confidently,? said SEC Secretary-General Vorapol Socatiyanurak.
Center to enhance its role as an information consultant to prevent potential scam damage, urging the public to thoroughly check in case of uncertainty to make well-informed investment decisions. Mr
gains for themselves or another person. In this regard, they jointly approved and ordered RICH to not only make advance payment to trading partners for the purchase of goods without receiving goods in