on the clients? behalf at a high trading volume and value. Later, the clients demanded her to compensate for losses incurred from trading. In addition, {A} admitted to trading in such manner by giving
) ……......... 10. Number of companies for which the applicant has affixed signature in giving opinion on their financial statements over the past 5 years: Year of signature affixed Number of companies Affiliated
of the aforesaid businesses are as follows: ( 1 ) In the case of “ digital asset investment consultant, ” giving advice on digital asset investment or quoting digital asset value, and in the case of
in the audit firm who has an influence on the applicant’s giving of opinions, including the spouse and minor children, of the person with equivalent authority, of other partners or equivalent, of other
an influence on the applicant’s giving of opinions, including the spouse and minor children, of the person with equivalent authority, of other partners or equivalent, of other licensed CPAs or of
Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of
giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly various forms, both in https://publish.sec.or.th/nrs/8500pe.doc 8500pe_r.pdf
amendments includes: (1) Amending provision prescribing natures of giving investment advice to Thai investors on capital market products denominated in foreign currency that are not being regarded as
Bangkok, 20 October 2017 ? The SEC is giving its full support to the Draft Law on Business Promotion and Public Access to Services through Financial Technology B.E ("FinTech Act") to create