he received together with penalties. The investigation also revealed that during the client made the request for selling of investment units, {A} was serving another client. Without making any contact
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
market personnel and lack qualifications for the director and executive positions of issuing firms throughout the complaint period. Arada?s investor contact approval is also revoked,? said SEC Deputy
suspicious activities or unauthorized business undertakings, please contact the SEC Help Center at Tel: 02-263-6000 or complain@sec.or.th or the AFTC at enforcement@aftc.or.th for further
://market.sec.or.th/public/idisc/th/InvestorAlert. To notify information or leads regarding suspicious activities, please contact SEC Complaint Center via Hotline 1207 or SEC Official Facebook Page or SEC Live Chat at
title; “investor contact” means any person who has duties to contact, solicit, advice or prepare investment plans for investors or customers of a securities company and are divided into two categories
persons. Companies should arrange a call tree and a name list of customers, the main service providers and other relevant persons, including contact information, such as an office phone number, home phone
relevant persons, including contact information, such as an office phone number, home phone number, mobile phone number or e-mail of which companies shall update a name list and contact information regularly
during the course of business undertaking; (7) “ investor contact ” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment
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