no permission from the SEC. There were lots of victim falling into such pitfalls these days. The SEC has issued investor alerts in this matter and further placed emphasis the need for the public to
}, without informing the client, continued trading securities in an attempt to recover loss in this account. Also, it was found in the recorded conversation that {A} asked another client for permission to
include, the following matters: (1) Determination of types and characteristics of investible assets based on principles instead of specific details; (2) Permission for mutual funds to invest in more
instructions from the clients. They cannot make securities trading decisions on behalf of clients, regardless of the client's permission. In this regard, the actions of {B} and {A} were deemed as obtaining
such permission.In performing their duty, an investment consultant can send trading orders only when obtaining orders from the clients. Even with the client?s permission; they cannot make decisions on
trading orders only when obtaining orders from the clients. Even with the client's permission; they cannot make decisions on behalf of the client. In this regard, {A} and {B}'s actions were in violation of
because in 2017 the Company recorded additional allowance for doubtful accounts related to a joint venture. However, in 2018 the National Legislative Assembly passed a resolution approving the draft of a
increasing of investment in All S Holding Co., Ltd. (“All S”) The Board of Directors has resolved to approve the increasing of investment in All S who runs business in automobile assembly, public
amendments have been proposed in parallel, such as pushing forward the civil sanctions for the consideration of National Legislative Assembly of Thailand. The proposed amendment of the Securities and Exchange
investors.However, SEC intends to amend the regulations to give permission for asset management companies with a custodian services to protect investors’ asset and stringent supervision on asset separation to keep