client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent
investment in all kinds of capital market products. In this regard, advices on basic asset allocation for investors are also provided.Duangmon Chuengsatiansup, SEC Assistant Secretary-General, said the SEC
provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for
investment loss must be provided and records on giving advices to clients must be kept.
underwriter and client in that it will provide securities underwriter with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for client. The revised
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
suffer loss.Failure to give proper investment advices on generally accepted professional standards, guarantee returns from investment and failure to carry out order of the client were in violation of the
information from the client or the officer who executed the selling transaction for the client. Signing the buy/sell order form of investment units without contacting and giving advices was failing to perform
to have a variety of investment options and risk diversification appropriate for their investment objectives. For investment made via Thai business operators, investors will be given advices on foreign