}, who also held a branch manager position, it was found that she had advised a client to invest in a fund without giving complete and sufficient information as well as warnings related to the fund that
Fund Manager : DF) โดยวัตถุประสงค์ของการปรับปรุงครั้งนี้ เพื่อให้เกิดความคล่องตัวในการประกอบธุรกิจและปรับปรุงระยะเวลาการให้ความเห็นชอบ เพื่อให้สามารถปฏิบัติตาม พ.ร.บ. การอำนวยความสะดวกในการพิจารณาอนุญาต
Sungwalram(4) Ms. Thanaporn Suwannapong (also branch manager)(5) Mrs. Pranee Rodyindee and(6) Ms. Dok-or ChotanaThe SEC's findings have also revealed that two other investment consultants, namely (7) Ms
to certain types of personnel; for instance, wealth advisor who gives advice on asset allocation and selects suitable securities for individual client, investment analyst, and fund manager, in
REIT trustee must be independent from REIT manager. For the participation in REITs related businesses, such as underwriting or financial advisory service, a Chinese wall to prevent conflicts of interest
management to seek the SEC approval for becoming a REIT manager. The proposed REIT regulations would be more relaxed and flexible than the current ones governing property funds (Type 1). For instance, the unit
securities trading account between April 1, 2016 – May 4, 2016 in such a way as to take advantage of other persons through the assistance of Mrs. Supritha Pai Kasturi, PTL’s Senior Manager - Finance &
Manager - Finance & Accounts who also knows the inside information. 16/05/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :