Bangkok, February 19, 2013 ? The SEC has reiterated securities companies to instruct investment consultants to give securities trading advice based primarily on fundamental factors of securities
Bangkok, March 27, 2013 ? The SEC has reiterated securities companies to instruct investment consultants to give securities trading advice based primarily on fundamental factors of securities
PFS International Consultants Co., Ltd. PFS International Consultants Co., Ltd. (“PFS”), represented by company director Mr. Mark Edward Kirkham, colluded with other alleged offenders in soliciting
suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country
. In a number of cases, the clients authorized the investment consultants to make trading decisions on their behalf. Usually, those clients did not have enough time or viewed that the investment
derivative agent business and respond to investors? changing demands. The proposed rules would allow investment consultants (IC) and investment planners (IP) to render more services related to securities and
products, the SEC and the Associations discussed an importance of financial planning. The banks? investment consultants should be equipped with capability to provide preliminary advice for investors to raise
SEC therefore suspended {A} from duty as approved capital market investment consultants for one month.
derivative contracts in their accounts of a securities company, in cooperation with Mr. Narathip Lohaweroj and Mr. Torpong Thammasombat, investment consultants of the securities company and Miss Skonwan