Bangkok, February 20, 2015 - The SEC suspended {A}, a securities investment consultant of Siam Commercial Bank Plc. (SCB), for failure to provide complete information or advice. In this case, he
, providing correct and complete information for investment decision making, and disclosing information in the fund scheme and prospectus.The revision of the investment rules has undergone public consultation
her employer for six months. The SEC thus ordered another two months? suspension to complete the term. AEC Securities: (10) {K}, capital market investment consultant and investment planner, is
securities investment consultants, had committed wrongful acts against clients at various branch offices as follows: (1) In the case of Miss Surasa Mungthaworn, it was found that she had
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
investors to carefully and prudently study the information from the complete version of summarized significant features of securities (Fact Sheet) to clearly understand the product and appraise own risk
Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
to complete the transactions. The client had given prior consent to her act claiming it was inconvenient to affix signature in person at the time. Despite no intention to conceal information in the
Bangkok, 3 November 2017 ? The SEC emphasizes the importance of information disclosure in the registration statement and prospectus so that investors will be able to access complete information