Cryptocurrency is a financial innovation that is exposed to high volatility. Investment in this digital asset thus requires knowledge and understanding and a risk profile that is not so sensitive
their clients regarding investment advice, negotiations and trading orders for at least one month from the date of such activities. This is to show evidence of duty performance toward their clients and
market investment consultant of Finansia Syrus Securities Plc.The SEC found from its routine inspection that {A} frequently failed to keep records of his advice and clients' securities trading orders. He
Bangkok, August 17, 2012 - The SEC imposed administrative sanction on seven investment consultants for their failure to record clients' securities or derivatives trading orders by suspending one
exchange. While the investment objective in relation to derivatives trading will no longer be limited, derivative brokers, in providing the service, will be required to comply with rules and practices
found to have concealed facts from the client regarding the trading transactions and the accounting status of the client after incurrence of investment loss.{A}'s misconduct is deemed irresponsible and
} and {B}, two securities investment consultants, and {D}, a capital market investment consultant, failed to completely record a client's securities trading orders. Furthermore, the second investigation
Bangkok, January 23, 2013 - The SEC imposed a two-month suspension on {A}, a securities investment consultant of SCB Securities Co., Ltd., effective from January 23, 2013.The SEC received a report
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. Such acts were done by falsifying documents relating to the trading of investment units of funds and documents relating to cash withdrawals, with the intention of deceiving clients that the investment