sort out the training and renewal requirements during the social distancing period. In this regard, fund managers, derivatives fund managers, investment analysts, investment consultants and investment
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
compulsory for renewal of approval for investment consultants, investment planners, investment analysts, agricultural commodity trading management officials, fund managers and derivatives investment managers
, more user-friendly format for informing investors of key features, investment policies and associated risks, while giving investment consultants a more convenient tool for giving advice and selling units
opportunities, while ensuring that investors would benefit from having professional investment consultants or investment planners provide securities and derivatives trading services according to investors? pre
., 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
of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No https://publish.sec.or.th/nrs/3584pe.doc 8264p.doc audit firm, hereby certify and consent to the
, misappropriation of B/E sale money and consent to false accounting records Bangkok, 5 January 2018 ? The SEC has filed a criminal complaint against four former and current executives of K.C. Property Public Company
criminal complaint against seven KC executives and associates for dishonest acts, misappropriation of B/E sale money and consent to false accounting records Bangkok, 5 January 2018 ? The SEC has filed a
offender signs a letter of consent to comply. Otherwise, the SEC will submit the case to the public prosecutor for filing a lawsuit in the Civil Court to seek an imposition of civil sanction with the