not be able to make informed investment decisions. The SEC is therefore seeking public comments on the proposed regulations for the disclosure standards of SRI Fund which will be used in the
On 17 September 2021, the SEC sent a circular to all listed companies advising listed companies that invest or plan to invest in digital assets to exercise discretion in making decisions regarding
, ill-informed decisions with the expectation for high returns and even topped up benefits from signing up other persons into the network scheme. Investors are advised to avoid such investment scheme as
such material information could affect the benefits of securities holders, investment decisions and the EARTH securities price, the SEC has ordered EARTH to further clarify the cause of the default
that {B} had traded the client's securities without client's order. By admitting that trading decisions (30 percent of the transactions) were made before notifying the client, his action was therefore
securities trading as well as amount of securities and prices, all of which were acknowledged by the client's authorized person. Making securities trading decisions on behalf of client is in violation of
well as acknowledging the problem. The booth provided basic investment knowledge and sources of information for making decisions, which will help them attaining their life goals and ready for retirement
securities trading decisions on behalf of the client. She then continuously made trading decision on behalf of the client for more than three months in high value and volume trades. {A}'s action was deemed as
Bangkok, July 8, 2015 ? The SEC suspended three investment consultants for making trading decisions on the clients? behalf. Those investment consultants were Ashiya Ashiyakul, a former capital market
Bangkok, July 8, 2015 - The SEC suspended three investment consultants for making trading decisions on the clients' behalf. Those investment consultants were {A}, a former capital market investment