services: (a) investment analysis for capital market products as specified in Clause 49; (b) service of buying and selling investment units in form of omnibus account as specified in Clause 57; (c
account the financial market and capital market, politics and social condition: - Industry analysis: - Study and analysis of fundamental factors of the business to be invested. (3) Prescription of criteria
decision to be comprised of at least the followings; - Analysis of overview domestic and international economy taking into account the financial market and capital market, politics and social condition
Bangkok, 21 January 2019 - The SEC has revoked approval for two investment consultants for using investors' trading accounts to seek benefits for themselves, namely (1) {A}, capital market investment
Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment
committing undue acts toward his clients? assets and using a client's trading account to trade securities for his own interest and was deemed offenses under the Notification of the Capital Market Supervisory