functioning as a capital market investment consultant ends on 31 December 2017, the suspension period shall end simultaneously. In addition, the SEC shall not accept his new application for approval as capital
Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on
for the working field of asset appraisal, possess prohibited characteristics as prescribed; Not being ordered by the SEC to suspend functioning as appraisal company in capital market or being under the
://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-deri.doc EDITED not entitled upon the employees whose memberships have been terminated, and are determined by the fund’s articles to be an asset of
://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-deri.doc EDITED not entitled upon the employees whose memberships have been terminated, and are determined by the fund’s articles to be an asset of
, 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
results Sort by: Relevance Date (Newest) Date (Oldest) EDITED not entitled upon the employees whose memberships have been terminated, and are determined by the fund’s articles to be an asset of the fund; (c
Date (Newest) Date (Oldest) EDITED not entitled upon the employees whose memberships have been terminated, and are determined by the fund’s articles to be an asset of the fund; (c) damages or interest
complicated, and for the most part the existing laws do not cover all new ways of committing an offense in the capital market. Legal provisions applied to some cases are unclear and open to interpretation
Determination of Undertaking not Deemed as a Derivatives Dealer