Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate
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
be actual expenses for engaging reviewers and / or consultants in the preparation of carbon footprint disclosure, but in any case not exceeding 50,000 baht per year. The consultation paper is
consultants to the program. Important factors for driving forward the program towards its goals require collaborations from all sectors, in order for this program to develop and to increase the efficiency