) to retail investors in Thailand, expected to become effective by Q2/2014.The ASEAN CIS allowed to be offered to retail investors in Thailand must be approved by capital market regulators and have been
securities trade order instructions are the violation of Clause 20(2) and 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators
December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine
Capital Market Supervisory Board or the Office of Securities and Exchange Commission have suggested investment in the offered securities; nor contain any assurance in relation to the value or returns on the
GUARDIAN CAPITAL ASSET MANAGEMENT COMPANY LIMITED KIATNAKIN PHATRA ASSET MANAGEMENT COMPANY LIMITED KIATNAKIN PHATRA BANK PUBLIC COMPANY LIMITED KIATNAKIN PHATRA SECURITIES PUBLIC COMPANY LIMITED GRANT
Currently, asset management companies have established mixed funds with more diversified asset allocation to meet different demands of investors and to enhance efficiency for managing investment
allocation) นางดวงมน จึงเสถียรทรัพย์ ผู้ช่วยเลขาธิการ ก.ล.ต. กล่าวว่า ก.ล.ต. มีแนวคิดที่จะปรับปรุงแบบประเมินความเหมาะสมในการลงทุน (suitability test) ให้เป็นมาตรฐาน และรองรับการลงทุนในผลิตภัณฑ์ทางการเงินในตลาด
Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board
investment consultant. However, the approval as securities investment consultant for Nattapong has already expired since 31 December 2018. SEC has therefore prohibited him from re-entering as capital market