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English (United States) Offering Of Investment Units × Home > Laws/Regulations > Regulations
English (United States) Offering Of Investment Units × Home > Laws/Regulations > Regulations
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
List of approved investment analysts / investment consultants
SEC has revised rules to make it easier for companies to engage in this business, for example, abolishing the rule requiring unit-selling agents to sell investment units of different management
case of concerns of doubtful events, investors should contact the compliance unit promptly. In any case, investment consultants must accept trading orders from the account owners or the persons who
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during 22 September 2017 – 24 February 2018, {A}, then a securities investment consultant at the
of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection
Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was