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 violation of the Notifications of
Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the
for investment consultants.As a result, she was disqualified from being investment consultant under Clause 18(1) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated
are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment
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
the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated
THE ROYAL BANK OF SCOTLAND N.V. DIRECT CAPITAL COMPANY LIMITED TONTAN CORPORATION INVESTMENT ADVISORY SECURITIES , COMPANY LIMITED TOKIO MARINE LIFE INSURANCE (THAILAND) PUBLIC COMPANY LIMITED TRINITY
Bangkok, January 21, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of OSK Securities (Thailand) PLC, for not taping her investment advice and client's
Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was