consultant to do so. Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset , (3) use of the client's trading account to trade
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 การเก็บรักษา
ก.ล.ต. โดยระบบ Prof. Link จะเป็นศูนย์กลางข้อมูลการอบรมของผู้ถือใบอนุญาต ซึ่งได้แก่ ผู้แนะนำการลงทุน (Investment Consultant: IC) ผู้วางแผนการลงทุน (Investment Planner: IP) และนักวิเคราะห์การลงทุน
be prepared for changes,” SEC Secretary-General said. In this panel discussion, panelists included Dr. Bhume Bhumiratana - SEC consultant, Dr. Narun Popattanachai – Government Legal Counsel at
Consultant, Private Fund Management Department.With reference to the investigation findings, the afore-mentioned offenders had planned and divided responsibilities for this purpose since the beginning of the
Characteristics of Personnel in Capital Market Industry dated September 15, 2010. The SEC therefore revoked approval for their present status as investment consultant. Information contained in this news release
market connectivity and investor experience in regional investing, including feedback from the AICP and recommendations put forward by the independent consultant commissioned by the Asian Development Bank
consultant. Institutional investors should ensure that the third parties perform the assigned functions in accordance with the investment governance policy.2. The I Code comprises seven principles as follows
three offenders from performing duties as branch manager in the capital market business and suspended their approval as investment consultant and investment planner for four months each; {I}'s suspension
could access information on investment by virtue of performing such duty, regardless by whichever name of position of such person is called. “investment consultant” means a person providing investment