English (United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2
Securities Issuing Companies Takeover Professionals Intermediaries Analysts / Investment Consultants ISIN Code ESG Product Platform Investor Alert Digital Assets Investor Alert Digital Assets Investors SEC and
phase is being carried out in collaboration between the Working Group and consultants from the Climate Bonds Initiative (CBI), DNV, and the Thailand Development Research Institute (TDRI). The project is
management, and agriculture. This phase is being carried out in collaboration between the Working Group and consultants from the Climate Bonds Initiative (CBI), DNV, and the Thailand Development Research
, 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
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