subscription order of a client without contacting or giving advice to the client. She admitted having done so without providing details on the fund to the client. The SEC has therefore imposed a 40-day
without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam
December 2023 sent a letter to the company, requiring a written clarification on the issue, which the company failed to provide. Moreover, there may be considerations regarding offenses related to client
derivatives trading orders on behalf of a client. She admitted making trading decisions and sometimes submitting internet trading orders on behalf of the client. Moreover, {B} and Kantanapat, the securities
client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint
failed to inform a client of material information that was likely to affect investor's interests.Following the SCB report, the SEC probed into the case and found that a client wanted to sell investment
A. RAP & Client Acceptance A.0 Risk Assessment Process for Acceptance and Continuance of Client Relationships and Specific Engagement element: Firm's Reference /Guidance Notes Description 1 What are
}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving
=100&qf=title_th_default&fq=key_filetype%3Axlsx&start=0&rows=10 1 - 4 of 4 results Sort by: Relevance Date (Newest) Date (Oldest) OFFER_DEBENT_EN.xlsx Electrical Products and Computer 08 Energy and
=searchcontent_th~5^10000&ps=2&mm=100&qf=title_th_default&fq=system_name%3ALegalHub&start=0&rows=10 1 - 1 of 1 results Sort by: Relevance Date (Newest) Date (Oldest) กลต.ธ/น.(ว) 37/2549 การเปิดรับฟังความคิดเห็นเกี่ยว