บริหารจัดการ PVD และมี License ธุรกิจที่ปรึกษาการลงทุน สามารถลงทุนเพื่อเป็นทรัพย์สินของบริษัท แบบ short term speculation ได้หรือไม่ ข้อ 2 บริษัทกำหนดให้คณะกรรมการบริษัท 5 ท่านเป็นผู้พิจารณา

Bangkok, October 7, 2013 - The SEC sanctioned two executives and six investment consultants of Country Group Securities Plc., in relation to trading shares of Angpao Assets Plc. (PAO). The sanctions

Bangkok, October 24, 2014 - The SEC suspended two capital market investment consultants namely {A}, a consultant of Bualuang Securities PLC., for trading securities on behalf of clients and {B}, a

Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of

Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a

., Ltd. but he kept repeating the same mistakes.Investment consultants must keep taped evidence of their investment advice and a client's trading orders when obtaining derivative trading orders from

authorization that {A} had obtained  to make securities trading decisions on the clients' behalf.In performing their duties, investment consultants  can send trading orders only when obtaining instructions from

such permission.In performing their duty, an investment consultant can send trading orders only when obtaining orders from the clients. Even with the client?s permission; they cannot make decisions on

Bangkok, December 13 , 2012 - The SEC suspended {A}, then derivatives investment consultant of MTS Gold Futures Co., Ltd. for six months, effective from December 12, 2012; and also reprimanded {B