her client regularly as well as reported to her client on the summary of profit and loss on a monthly basis. On March 12, 2012, {A} made trading decisions without the client's instruction and payment

such as games, counseling service, survey and instruction on Mobile App ?start-to-invest?. Those who download Mobile App ?start-to-invest? and show up at the booth will also be given a souvenir. The SEC

trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain

in a form that the computer can read and readily process (machine readable data). Data can be obtained by means of code-writing for direct data query. SEC anticipates that this information service

, could pose risk to the client. She also disregarded her client?s instruction and continued her improper actions. The SEC, therefore, suspends Kruawan from the status of approved investor contact for one

Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of

B.E. 2535 (1992), the Securities https://publish.sec.or.th/nrs/2544pe.doc Translation retain such record until all the procedures are completed. In the case where the advise, trading instruction or

the case where the advise, trading instruction or negotiation is made by telephone or via electronic means, the securities https://publish.sec.or.th/nrs/65pe_r.pdf is made by telephone or via electronic

, trading instruction or negotiation is made by telephone or via electronic means, the securities company shall keep https://publish.sec.or.th/nrs/65pe.doc ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์

, trading instruction or negotiation is made by telephone or via electronic means, the securities https://publish.sec.or.th/nrs/65pe_r.pdf is made by telephone or via electronic means, the securities company