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
. ___________________________ 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
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
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
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
investment units, there should be no restrictions on types of investors resulting in an insufficient distribution of the investment units. Related Regulations Notification of the Capital Market Supervisory
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
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