growth and could eventually generate an insufficient sum for post-retirement living.In addition, studies show that more than 50 percent of the PVD members has received less than 1 million baht upon
received. The total sum of 56 million baht has already been remitted to the Ministry of Finance as public revenue.? Civil sanction is another fair and effective means of enforcement imposed on offenders
amount to the benefit should have been received from committing the offence in a sum of 522,500 Baht together with 7.5% interest calculated from the amount equals to the benefit should have been received
therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020. SEC emphasizes the importance for investment consultants
2016.In any case, investors should not disclose their usernames and passwords for investment consultants to execute trading orders on their behalf. Similarly, investment consultants must not seek
behavioral finance in issuing the regulations. For instance, the regulations governing investment consultants and investment planners making direct contact to the customers have been strengthened by requiring
(United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2
English (United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2
., investment consultants 1 and listed companies 2 ______________________________ 1 In case https://www.sec.or.th/EN/Pages/AboutUs/SECPeople.aspx