is not allowed. ? ________________________ *Clause 23(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Capital Market Personnel dated 3 June 2014

is not allowed. ________________________ *Clause 23(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Capital Market Personnel dated 3 June 2014

investment consultants who were in charge of this client for two consecutive periods of time, aided or abetted {A} in trading on behalf of the client as the client was not keen on investment and allowed Tanya

admitted that the client allowed him to sell the securities in cases of making profit or potential loss. From his conversation with the client recorded, he traded securities for the client several times a

client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. {A} admitted that the client allowed him to sell the securities in cases of making profit or

allowed to contact and give investment advice to clients. The SEC has emphasized to all intermediaries to strictly instruct their investment consultants to obtain and compile sufficient information for

by Noppawan and Viroj who allowed their separate trading accounts to be used for the YCI transactions in exchange for compensation.The aforesaid offenses were in violation of Section 243 of the

supervision scheme follows a similar regulatory framework to the one governing equity crowdfunding in several dimensions including: (1) issuers are allowed to offer either secured or unsecured debentures via

qualifications and smart contracts by SEC-approved ICO portals; (3)   There might not be enough necessary information disclosed for investors.(4)   These is no business operators under SEC supervision allowed

planning whereby securities brokers and derivatives agents would be allowed to offer services on asset allocation and investment planning in the forms of program trading and portfolio advisory with