before making decisions to invest in initial public offerings (IPO).  SEC Deputy Secretary-General Prakid Punyashthiti said: ?Investors should study the information of any  financial instument of their

assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth

Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She

consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to

misconduct above – taking the investor’s assignment to make decisions on trading of securities and derivatives and fabricating that certain derivatives trading orders were sent by the investor – was deemed

– 12, 2025, under the theme “Financial Well-Being Journey: Informed Decisions, Empowered Choices in the New Era of Finance.” This year, the IOSCO emphasizes the threat of Relationship Investment Scams

, said: “The SEC is pleased that the contest is well-responded and becomes a success, contributing significantly to a united effort with the public for more extensive risk warnings of fraudulent acts. In