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

and civil and administrative cases on behalf of the government or state agency when a public prosecutor accepts to take charge of such execution. With a database of debtors under the judgments and

operations continuously. However, in preparing the financial statements in accordance with Thai Financial Reporting Standards, it is necessary for the Company to make judgments and estimates regarding matters

out business operations continuously. However, in preparing the financial statements in accordance with Thai Financial Reporting Standards, it is necessary for the Company to make judgments and

Co. Ltd. that {A} had been authorized by his clients to make securities trading decisions on the clients' behalf where he frequently made trading decisions with relatively significant volume.  He