known as robo-advisor, service to be offered to investors next year. Robo-advisor has gained popularities in many foreign capital markets as it offers investors ability to obtain lower cost investment
and deliberation as a professional. His misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended his approval as securities investment
misconduct related to the offences of the investment consultants. Following an inspection report of {X1}, which is licensed to undertake securities business in the category of limited brokerage, dealing and
could influence the client’s investment decision. She also gave inaccurate information related to the fund’s net asset value (NAV), redemption price and offer price to the client; (3) In the case of {C
Bangkok, 7 March 2019 ? The SEC is advising the public to be cautious about any solicitation related to investment in HashBX Global Co., Ltd.With reference to the news of persons reporting to the
shares of another company as a joint investment with the client and would share capital gains with the client; however, she did not use the client’s money to invest in such shares, nor did she buy the
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false
duties as an investment consultant for a longer period, it is deemed that {A} has already served SEC’s suspension in full. Investors are strongly advised not to allow investment consultants or other
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for