Exchange Commission No. Kor Thor. 13/2563 Re: Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment
investment advice service. Tipsuda Thavaramara, SEC Deputy Secretary-General said that capital market regulators around the world are now embracing technological advancement to enhance efficiency and
subscription order of a client without contacting or giving advice to the client. She admitted having done so without providing details on the fund to the client. The SEC has therefore imposed a 40-day
found that Bantherngsak gave the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund
Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any
Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
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. Reported by
the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk
? and ?Category B investor contact? will become ?investment analyst? and ?investment consultant,? respectively, and will be entitled to provide analysis or give advice on equity instrument, debt