Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision
SEC Secretary-General, Nataya Niyamanusorn said, “SEC has seen the wealth advisors having important role for the investors because they could make the investors realize financial planning as a
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
Bangkok, March 12, 2013 ? The SEC is seeking public comment on proposed regulatory revisions to increase the numbers of intermediaries for the sale of investment units and investment advisors in the
DAOL INVESTMENT MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 26/10/2020 - 03/11/2020
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Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
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securities investment consultants, had committed wrongful acts against clients at various branch offices as follows: (1) In the case of Miss Surasa Mungthaworn, it was found that she had
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional