, another KBANK employee who was not an approved investment consultant gave advice to the client in such a way that caused the client to misunderstand that the investment was a deposit transaction because the
Bangkok, 22 September 2016 ? The SEC is seeking public comments on the Investment Governance Code (I Code), which contains guidances for institutional investors to manage investment policies and
, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment
Bangkok, July 20, 2016 ? The SEC is seeking public comments on the proposed rules governing provision of investment services to promote intermediaries? competitiveness in the securities brokerage and
cooperation is creating the synergy for investment governance culture in the capital market.SEC Secretary-General Rapee Sucharitakul said: ?It takes more than strict regulations to develop a sound capital
Bangkok, January 20, 2016 ? The SEC is seeking public comments on draft revisions to the rules concerning definition of investors and investment of mutual funds in line with international standards
}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving
{C} for two months from their duties as the approved securities and capital investment consultants respectively. In case of {C} who had already been suspended by OSK Securities for one month, the
was imposed on {B} for failing to record the clients' securities trading orders.The actions resulted in suspensions occurred while these investment consultants worked with Maybank Kim Eng Securities
Bangkok, May 14, 2014 ? The SEC allows broader investment in foreign investment products and permits more business operators to provide services in foreign currency denominated securities. SEC