market personnel for 10 years, effective from 6 January 2020 onwards.Investors are strongly advised to be careful in their fund investment and request transaction evidence issued by banks or asset
According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant
not be in breach of LTF and RMF criteria. In all cases, investors should seek full information of the products and study it carefully before making an investment transaction via any platform, mobile
. Accordingly, the transaction is subject to the prior approval of the shareholders? meeting. CWT board of directors and audit committee viewed that the investment project is beneficial and appropriate reasoning
structured note offering documents without making contact or giving investment advice to investor which caused the transaction to sell structured notes to be executed as if the investment consultant had
Bangkok, August 17, 2015 ? The SEC urges shareholders of Gunkul Engineering Public Company Limited (GUNKUL) to study the information and exercise their voting rights on the investment in a solar
(IFA) opined that the shareholders should not approve the transaction for several reasons. First of all, it is an investment in high risk assets and the uncertainty of debt repayment could significantly
without using the money to buy investment units as per the clients’ orders, (2) bought investment units less than the amount ordered, (3) misappropriated her clients’ money by depositing it into her own
or giving any advice to the client, he signed such selling order form in the capacity of an investment consultant. In addition, he neither examined the transaction nor requested for additional
carefully before making an investment decision. In any case, the execution of a unit buy/sell transaction by any person other than the account owner must be authorized in writing in advance