, without derivatives fund management license, had jointly managed funds for others for profits from derivatives investment. In so doing, they solicited and invited persons who wanted to invest in
(SIDREC) จากมาเลเซีย และ Ms. Gabrielle Hart, General Counsel, Securities Exchanges Guarantee Corporation Limited (SEGC) จากออสเตรเลีย ร่วมถ่ายทอดประสบการณ์การจัดตั้งและการดำเนินงานของหน่วยงานต่างประเทศ ณ
considered a failure to perform duties with responsibility and deliberation as a professional. His non-compliance with the client’s instruction and his giving of advice with the implication of return guarantee
, claiming returns from cryptocurrencies, digital tokens or package investment plans in the form of Ponzi scheme. Solicitors may also promise or guarantee attractive returns, luring investors into quick
guarantee of returns, and that unit redemption ahead of the target date set in the investment scheme is not allowed must be clearly communicated to investors.In addition, advertisement based on past
director of UVAN, knew inside information about the significant increase of company’s profits in the fourth quarter of 2017. She, then, bought UVAN shares during 27 December 2017 - 22 February 2018 in the
Bangkok, April 24, 2014 ? The SEC urged investors to make prudent investment decision concerning information on fund establishment and forward-looking on profits of listed firms.Chalee
’ objectives are to solve social problems, promote public benefits, and develop the community without focusing on making highest profits for shareholders, which are different from typical limited companies
during the same period to provide investors with proper information for investment decision making. RICHY P/E ratio disclosed in the registration statement was calculated from net profits in the last four
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