, another KBANK employee who was not an approved investment consultant gave advice to the client in such a way that caused the client to misunderstand that the investment was a deposit transaction because the
plus a fine.In the case of {B}, BBL's inspection report and the SEC's further investigation have revealed that she affixed her signature in the Investment Consultant Box of the LTF (long-term equity
Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. The said actions were also classified as prohibited characteristics of personnel in capital market according to Clause 6
Bangkok, June 10, 2014 - The SEC suspended two capital investment consultants, namely {A} and {C}, and a securities investment consultant {B} for trading securities on behalf of the client and
Securities Public Company Limited, the SEC further probed into the case and found that for the period of more than one year, Tanya, a capital market investment consultant, submitted a number of securities and
investment consultant ให้เหมาะสมกับความซับซ้อนของ product การเพิ่มจำนวน IC และการปรับปรุง sales process ให้มีประสิทธิภาพมากขึ้น ข้อมูลทั่วไป ชื่อผู้ตอบ ตำแหน่ง ชื่อบริษัท โทรศัพท์ โทรสาร
consultant fee at Baht 1.64 million, consultant fee - CLMV at Baht 0.50 million, consultant fee - Brand Strategy Development at Baht 0.85 million and consultant fee for tourism at Baht 0.42 million. Income tax
digital asset exchange; · approved persons e.g. investment consultant; · listed companies/ securities https://www.sec.or.th/EN/documents/aboutsec/complaint-form-general-en.docx
management company and digital asset exchange; · approved persons e.g. investment consultant; · listed companies/ securities https://www.sec.or.th/EN/documents/aboutsec/complaint-form-general-en.docx doc