Bangkok, June 25, 2015 - The SEC suspended {A}, a former capital market investment consultant of Phillip Securities (Thailand) Public Co., Ltd., for making trading decision on client's behalf and
Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the
Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment
explanation to the SEC accordingly. In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities
Microsoft Word - หนังสือแจ้ง SET Disposal TSE_EN_ส่ง SET 15Dec2560.doc -Translation- Page 1 of 3 L-WAVE ENT 53/2560 15 December 2017 Subject: The Disposal of shares in Thai Solar Energy Public
compliance with international standard sustainable investment criteria, and subject to stricter oversight than other regular mutual funds. Once established, Thai ESG Funds must set an investment policy and
example, algorithm or computer coding has been used in the process of investment analysis, advice, and investment decision-making. Therefore, it could lead to new services offering and help investors to
Bangkok, March 10, 2014 ? The SEC jointly with the Association of Investment Management Companies (AIMC), the Stock Exchange of Thailand (SET), the Thai Bankers? Association (TBA), the Association of
Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus
Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with