before making decisions to invest in initial public offerings (IPO).  SEC Deputy Secretary-General Prakid Punyashthiti said: ?Investors should study the information of any  financial instument of their

assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth

-informed decisions to take any action on their portfolios. The drastic fall is believed to have resulted from foreign investors? worries over the measures on foreign short-term capital inflows launched by

consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to

misconduct above – taking the investor’s assignment to make decisions on trading of securities and derivatives and fabricating that certain derivatives trading orders were sent by the investor – was deemed

employers to offer choices of investment policies that would manage retirement savings for their employees more efficiently,? said SEC Secretary-General Thirachai Phuvanatnaranubala.   # # #

Sanction Miss Thiwaporn Eiamsa-Ard Making decisions to buy and sell securities for clients Notification No. SorThor. 67

Sanction 1. Mr. Narongwet Weerakeatkumjorn2. Mr. Somporn Khunrang Making decisions to buy or sell securities for clients without clients? order

companies. Those companies? performances can be compared at ease and thus allows the users to make investment decisions more efficiently.  ?Bond Supermart? centralizes information of liquid corporate bonds in

Co. Ltd. that {A} had been authorized by his clients to make securities trading decisions on the clients' behalf where he frequently made trading decisions with relatively significant volume.  He