Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
investment advice service. Tipsuda Thavaramara, SEC Deputy Secretary-General said that capital market regulators around the world are now embracing technological advancement to enhance efficiency and
In March 2018, ACMF launched the ACMF Professional Mobility Framework to contribute towards investment consultation and analysis on cross-border products in ASEAN region which will facilitate
analysts and fund managers can apply to their work. ESG, in essence, is a mechanism for developing a sustainable capital market. CFA Institute, the global association of investment professionals, invited
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
Securities Public Company Limited, the SEC further probed into the case and found that for the period of more than one year, Tanya, a capital market investment consultant, submitted a number of securities and
Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1
maximum returns and managing investment risks. The I Code aims to build institutional investors? long-term credibility, and protect the best interest of asset owners and the capital market at large.As
accounts to mislead the clients into believing that such amounts were their investment money plus benefits.Afterward, they repeated the same method by persuading the clients to continue investing in order to
and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in