Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18
Investment and Giving Investment Advice dated January 18, 2012. In this regard, the SEC suspended {A} for six months. Taking into account that she has already been suspended by her employer for one month and
the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated
of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 and Clauses 23(2) of the Notification of Capital Market Supervisory Board No
No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 and Clause 23(3) of the
; for instance, regulatory information and investor advice. Additionally, visitors can stay informed with SEC updates across social networks such as twitter and youtube; as well as e-subscription. C
การลงทุน (“wealth advice”) ดว้ยส านกังานไดอ้อกประกาศดงัต่อไปน้ี เพื่อรองรับการใหบ้ริการ wealth advice ท่ีมีการใหค้ าแนะน าและน าเสนอ Investment Solutions ท่ีค านึงถึงประโยชน์ของผูล้งทุนเป็นส าคญั
.................................................................................................................................................... โทรศัพท์ ............................................................................E-mail……………………………………………………. วันที่คาดว่าจะเร่ิมให้บริการ wealth advice
to the following cases taking place at different branches: (1) In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual
while in fact the person had received investment advice from another Kasikornthai employee who was not an approved investment consultant. {B}, the manager of the branch where the client received