opportunities, while ensuring that investors would benefit from having professional investment consultants or investment planners provide securities and derivatives trading services according to investors? pre
Professional Mobility framework to facilitate the cross-border movement of investment advisers and the publishing of research reports. ACMF will formalise the arrangements in the second half of 2018.The ACMF
following manners: (1) funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a
Statistics of approved investment analysts / investment consultants Please wait... Statistics of approved investment analysts / investment consultants Type of License April 2021 May 2021 June 2021
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
purpose of trading. In addition, investors can be confident that they will be protected through their use of service as it is the investment via experienced and professional business operators. SEC’s
signatories are categorized into three groups, namely (1) Asset Owner, (2) Investment Manager, and (3) Professional Service Provider. The signatories agree to comply with the six Principles for Responsible
performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as
securities and consulting financial experts licensed to give professional advice is also helpful,? added Mr. Prakit. ________________________
Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the