having medium to high risk level without  principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete

without his client's orders.  Such trading was made in high volumes for several consecutive days, decreasing the number of shares in the said account. {A} then used the client's money to gradually purchase

-increase shares or subordinate bonds, and to refrain from making business expansion or further investments in high-risk instruments.   On December 12, TSFC sent a letter informing the SEC that the company?s

-to-market value of the company?s capital funds as a result of huge losses on its equity investment portfolio and high provisions for doubtful accounts of margin loans. SEC Secretary-General

Re: Rules in Detail of the Work System and Management of Mutual Funds for  Institutional Investors or Ultra-High Net Worth Investors, dated 1 February 2019.**  Regulatory Guillotine is the

of the Bureau of Financial-Banking Crimes and Money Laundering, to discuss the developments of the legal proceedings in this case. “The SEC always places high importance on legal enforcement and

issued a warning letter to such securities analyst to perform her duty with extra care and verify the correctness of information before disseminating to the investing public or the media. This is of high

such loans were too low. The acts mentioned above did not comply with GSC’s investment policy causing GSC to experience high investment risks and lose the opportunity to gain higher and reasonable

sweeteners and sold since in 2nd Quarter 2018, therefore resulting in gross profit in 2019, with a higher gross profit than 2018. In addition, (b) increase in portion sale of high margin products mix Selling

had a total increase of THB 65.05 million (related transactions eliminated). The local subsidiaries gained advantage from the recovery of the automotive industry in Thailand, resulting in high growth in