China. However, according to the examination, no such deposit for the product to any company in China was found. Instead, a withdrawal or transfer of money out of a savings account of Winsound (Thailand

examination revealed that on 12 July 2023 (one business day), the aforementioned JMT selling orders originated from BBLAM’s trading account, executed through Citicorp Securities (Thailand) Limited. At the time

material and likely to affect the client's benefits.Following the complaint lodged by client and examination report of Bangkok Bank Plc., the SEC further probed into the case and found that the client

phone, the investment consultant must keep complete record of those orders as evidence for examination and source of orders. In this regard, the SEC urges the clients not to assign the investment

investment advice or investor contact.  Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not

Exchange Commission concerning examination and disclosure of units of foreign collective investment scheme; (2) being units offered for sale only to institutional and high net worth investors. Clause 5. In

Examination (CMFAS exam) ส่วนหลักสูตร product knowledge ของประเทศไทยที่ MAS ยอมรับคือหลักสูตรการทดสอบ สำหรับผู้ติดต่อกับผู้ลงทุนประเภท ข ด้านหลักทรัพย์1 (Module 1 of the Investor Contact Competency

examination of the overall financial position and risks of members, which at least regularly evaluates and monitors their financial position, financial stability, and risk management systems, and shall

application within the period specified as follows shall be exempt from having the qualifications under Clause 5: (1) Being a person who has passed the examination on knowledge of investment advisor from

person responsible for risk management who is independent from the operator shall be assigned; (2) The calculation of fair value of instruments and the examination of the management on compliance with the