, especially those products for which the investment consultants receive high sales commissions or want to boost sales volume. Moreover, there was a lack of persons to monitor their investment after the
audit by independent external organizations.Level 5 ? Extended: indicating anti-corruption policy which extends to business partners, consultants, intermediaries and business representatives.
investment consultants offered for sale of 5-year structured notes to the client. The client made investment based on the understanding that the bank would redeem the notes after six months as from the
respond to investors? demands and enhance investors? protection. SEC Assistant Secretary-General Duangmon Chuengsatiansup said: "investment consultants are required to have their clients take a suitability
. Investors should avoid using, or permitting the use of, investment consultants’ email addresses or phone numbers for communications or for receiving important documents. This precaution helps protect
expense is included in the financial statements. In addition, the Company has expanded its staff, resulting in an increase in personnel expenses and an increase in the cost of hiring consultants, such as
Office at inva@sec.or.th. The Office will further publish the questions and answers on its website. Yours faithfully, -Signature- (Mr. Thirachai Phuvanatnaranubala) Secretary-General Enclosure: The
. Should you have any query please contact the Office at inva@sec.or.th. The Office will further publish the questions and answers on its website. Yours faithfully, -Signature- (Mr. Thirachai
Office will notify you of the reasons via the contact channel provided by you. If you have any further questions or any additional complaint relating to your request, you can contact the Data Protection