, another KBANK employee who was not an approved investment consultant gave advice to the client in such a way that caused the client to misunderstand that the investment was a deposit transaction because the
Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus
Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1
; (2) In the case of Mr. Pattarawut Thunyajaroen, it was found that he had falsified documents for the redemption of investment units, forged deposit account passbooks by use of the IDs of other bank
Bangkok, July 7, 2014 ? The SEC revised rules on mutual fund selling agents to allow additional channels for investment in mutual funds, expected to put into effect by early August 2014.Vorapol
deposit of 350 million baht and an additional unpaid deposit of 100-million baht due on 31 December 2016, and (4) impact of POLAR ' s subsequent cancellation of investment in A Day on the refund of the
transactions must be transferred into the securities account of the responsible securites company only, and that accepting a deposit of shares from any investment consultant into investors? own trading accounts
a company in a client’s trading account by asking the client to sell the shares and transfer the redemption money into her own deposit account. She claimed that she would use the money to invest in
) unrated bonds and (2) non-retail mutual funds that invest in unrated or non-investment grade debt instruments without limit on the investment proportion. The resolutions aim to provide those seeking to