Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC
Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and
investor contact? and ?Category B investor contact? will be changed to ?investment analyst? and ?investment consultant,? respectively. For transitional period, presently approved ?Category A investor contact
/ converting an online branch office to a full branch office: 5.1 Name of branch manager: ........................................................... 5.2 Branch manager is also an investment consultant. Yes No
Notification: (1) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management
Notification: (1) “representative” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management
) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management company is a private
juristic person to provide consultation or make a plan relating to investment units [to investors], such person shall have its personnel to perform duties as investment consultant, investment planner or
consultant and client in case of disputes or complaints as well as prevent problems resulted from such trading orders, thereby enhancing market confidence as a whole."