Securities Public Company Limited, the SEC further probed into the case and found that for the period of more than one year, Tanya, a capital market investment consultant, submitted a number of securities and
materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of
. ___________________________ Note: The misconduct of the investment consultants, one of whom was also branch manager, is a violation of Clause 23(2), and a prohibited characteristic of capital market personnel under Clause 31
Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of
Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1
maximum returns and managing investment risks. The I Code aims to build institutional investors? long-term credibility, and protect the best interest of asset owners and the capital market at large.As
Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board (CMSB) recently approved revision of regulations to expand list of investment products denominated foreign currencies
Bangkok, June 10, 2014 - The SEC suspended two capital investment consultants, namely {A} and {C}, and a securities investment consultant {B} for trading securities on behalf of the client and
Bangkok, December 24, 2013 - The SEC will not consider an application for approval as capital market personnel in case of {A}, a former securities investment consultant of Thanachart Securities Plc
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, 2012. The