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
investment decisions. The consultation paper is available at www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the website, or facsimile at 0-22636484 or email: nichaya
a starting point for mapping out a personal financial plan before taking the next steps toward informed and educated investment decisions,? said SEC Secretary-General Rapee Sucharitakul. The SEC Open
offered and to make a convenient comparison with similar products across the board before making careful investment decisions.? added Mr. Prakid.The consultation paper is available at www.sec.or.th
such information publicly and promptly because financial statements are material information for investors and shareholders to make well-informed investment decisions and monitor company operation.?