trading orders, trading securities on behalf of client and making trading decisions for benefit of client without the client?s orders.Following a complaint against {A} lodged by a client of KGI Securities
SEC found from conversation records that {A} had obtained authorizations to make trading decisions for the clients. {A}'s actions are deemed in violation of Clause 20(2) and (3) of the Notification of
qualify for rewards. The campaign was to urge and influence customer decisions inappropriately. In addition, Coins TH distributed the advertising material of such campaign without the clear and visible
program and engage in trading activities on the same day to qualify for rewards. The campaign was to urge and influence customer decisions inappropriately. In addition, Coins TH distributed the advertising
report on events that have or may have an impact on the rights and benefits of securities holders, on investment decisions, or on changes in the price of the company’s securities within the specified
, influence investment decisions of investors, or affect changes in the price of securities. Therefore, by virtue of Section 58(1) of the Securities and Exchange Act B.E. 2535 (1992), the SEC has
to disclose this information to warn investors before they make investment decisions. For example, leasehold property funds (Type1), which are prohibited from investing in new assets, must give clear
Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any
and responsibilities of intermediaries, and (3) promotion of investors? roles in perusing disclosed information before making investment decisions. The amended regulation is expected to promote entry of