, complete and in compliance with rules and regulations of the supervising agencies as well as disclose complete information of the transactions to ensure that they are appropriate and most beneficial to the
5.3 Number of investment consultants (if any): ...... Person(s) 5.4 Back office operation Located at a full branch office Sharing resources with a full branch office Located at
Sustainability Issues on Valuation and Performance” for investment analysts and “Navigating the Future of Investing in the Time of Sustainability: A Paradigm Shift in the Roles of Investment Consultants?” for
Bangkok, February 19, 2013 ? The SEC has reiterated securities companies to instruct investment consultants to give securities trading advice based primarily on fundamental factors of securities
Bangkok, March 27, 2013 ? The SEC has reiterated securities companies to instruct investment consultants to give securities trading advice based primarily on fundamental factors of securities
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
PFS International Consultants Co., Ltd. PFS International Consultants Co., Ltd. (“PFS”), represented by company director Mr. Mark Edward Kirkham, colluded with other alleged offenders in soliciting
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.