unit link ฯลฯ รวมถึงการลงทุนของบริษัทประกันชีวิตโดยยึดหลักธรรมาภิบาลการลงทุน (Investment Governance Code หรือ I Code) เมื่อวันที่ 2 กรกฎาคม 2562 ณ สำนักงาน ก.ล.ต.
Bangkok, June 10, 2014 - The SEC suspended two capital investment consultants, namely {A} and {C}, and a securities investment consultant {B} for trading securities on behalf of the client and
. ___________________________ Note: The misconduct of the investment consultants, one of whom was also branch manager, is a violation of Clause 23(2), and a prohibited characteristic of capital market personnel under Clause 31
80,348 Fundamental Investment Analyst on Capital Market 169 173 173 176 177 178 180 180 180 175 177 179 Fundamental Investment Analyst on Securities 862 865 869 871 870 876 879 883 885 856 857 859
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was
own address and to submit capital reduction order for the client?s private fund. With the capital reduction payment, Thanjira bought investment units for the second client and Surasak. Moreover, she
-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital
therefore suspended the approval of {A} as a securities investment consultant and banned her from performing duties as a branch manager in business related to capital market for four months, starting from 6
burden to investors, which could develop into an obstacle for accessing investment services and products in the capital market. SEC therefore is proposing the regulations on the use of a single form for