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Facebook page ชื่อ Investment Knowledge : Unlicensed securities and derivatives business (Disclosure Date : 30/05/2024)
Facebook Page ชื่อ Investment success. : Unlicensed securities and derivatives business (Disclosure Date : 18/06/2024)
30 August 2017.** Investment Consultant of Complex Products Type 1 is approved to give investment advice on non-complex capital market products as well as all types of high-risk or complex products
charge of capital market business and suspended her approval as investment consultant for Complex Instruments Type 2*** and investment planner for one month and 10 days. However, the bank had already
allowed to give advice to investors about capital market products with non-complex features and investment units or debt securities with high risks or complexity, e.g., investment units of mutual funds for
investment consultant for complex instruments type 1 is allowed to give advice to investors about capital market products without complex features and products with high risks or complexity of all types. Ex
Board No. Tor Lor Thor. 48/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017.** Investment Consultant of Complex Products Type 1 is approved to give investment advice
Bangkok, October 24, 2014 - The SEC suspended two capital market investment consultants namely {A}, a consultant of Bualuang Securities PLC., for trading securities on behalf of clients and {B}, a
funds, venture capital firms, and ultra-high net worth investors. With respect to individual investors, SEC has received diverse comments involving restrictions on investment in ICO. Therefore, SEC will