personal benefits from the margins of the offer prices. According to the findings of the SEC investigative team, 10 of the 11 investment consultants solicited several clients to invest in IPO shares to
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
Fundamental Investment Analyst on Derivatives