plus a fine.In the case of {B}, BBL's inspection report and the SEC's further investigation have revealed that she affixed her signature in the Investment Consultant Box of the LTF (long-term equity
of investment in Day Poets Co., Ltd (A day). On 27 March 2017, POLAR disclosed information through the Stock Exchange of Thailand (SET) concerning four issues as follows: (1) refusal to hold an EGM as
permissible rate of 15 percent. The majority of PVDs invest as much as 85 percent of the total investment money in debt securities and bank deposits. Such low-risk, low-return pattern results in slow fund
Bangkok, June 15, 2016 ? The SEC is seeking public comments on the proposed amendments to the rules governing investment of private funds and mutual funds offered for sale to accredited investors.The
to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be
negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s
Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's
be careful and examine their trading transactions as well as the money in their accounts regularly, and not to allow investment consultants to make investment decisions or use investors? trading
In recent times, investment management companies are significant and connected to country’s economic system and have been growing continuously. By the end of June 2018, the net asset value
approval as securities investment consultant and banned him from re-entering the capital market and performing duties as a branch manager for any business in the industry for 10 years. Since the period of