whichever name of position of such person is called; “investment consultant” 9 means a person giving investment consultation to investors, relating to solicitation for investment or providing consultation for
Capital Market Supervisory Board No. To r Lor Thor. 11/2559 Re: Rules on Personnel in the Capital Market Business (No.4) dated 27 April 2016 (effective on 16 Mary 2016). 4 “investment consultant”9 means a
Perform Duty of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} and {B} from performing duties of investment consultant for six months. Taking into
}, formerly a manager of Chonburi branch and a capital market investment consultant of the same company, for aiding and abetting the aforementioned acts. The sanctions imposed on these five persons took effect
to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be
consultant and prohibited her re-entry as capital market personnel for 10 years, starting from December 22, 2015. On other cases, Nattapon was found accepting orders to trade securities in a client?s account
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
. “investment consultant” means a person providing investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product
assumptions; (4) in cases where the management company or the financial consultant discloses a financial estimate of the value of the infrastructure business to be invested in by the mutual fund, important