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
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
holders, on investment decisions, or on changes in the price of the company’s securities within the specified period. SEC Act S.Section 57(6) Settlement Committee Meeting No. 8/2025 Settlement Committee
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders