, effective from 12 October 2018; (b) suspending the approval of {B} as securities investment consultant and banning her from working as branch manager in charge of capital market business of the bank for two
big loss of money. In making an investment through a securities company, investors must transfer the subscription money to the securities company’s account only. In case of suspicion of trading
exempted from the securities business license in the category of private fund management and the derivatives business license in the category of derivatives fund management because they are incidental to
must not have behavior showing any objectives to engage in investment advisor business and must be registered with SEC. Even though the investment planners are waived in this matter, they are required
Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014. The SEC, therefore, has imposed the suspension of securities investment consultant approval on {A} for 20 days, from
According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant
Notification of the Capital Market Supervisory Board.* SEC has therefore suspended {A}’s approval as a securities investment consultant for three months. However, since BBL has suspended her from performing
SEC Secretary-General Ruenvadee Suwanmongkol said: “Today, SEC has issued the Notification prescribing the standard single form for opening an account for investment in all types of capital market
to comply with investors’ orders. In the event that such compliance cannot be done, investment consultants must inform investors immediately and must not make a trading decision without investors
Capital Market Business (No. 7) dated 30 August 2017. ** Investment consultant on non-complex products in the capital market and investment units or debt securities having high-risk or complex