results Sort by: Relevance Date (Newest) Date (Oldest) English (United States) MarketProfessionals and Audit Oversight Mutual Fund Business Operators Registered Persons Wealth Advice for All A Settlor of an
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
Identification And Beneficial Ownership For The Securities Industry และ Anti-Money Laundering Guidance for Collective Investment Schemes จึงขอเปิดโอกาสให้บริษัทหลักทรัพย์และผู้ประกอบธุรกิจ http://law.sec.or.th
With this manual as guidance, it is expected that the business operators will accordingly review their risk management policies and procedures and report the results to the SEC as part of their
training also covered fundamental knowledge about carbon credit standards, strategies for reducing greenhouse gas emissions through various mechanisms, guidance on selecting appropriate carbon credit