processing and confirming the redemption orders in violation of the tax terms;             (3) In the case of {C}, she was found to approve the redemption orders in the Bank’s investment unit trading system

mutual fund) Redemption Form without providing services in such capacity, nor did she examine the unit holding report of the customer's fund investment portfolio before the customer's partial unit

served.Investors are strongly advised to be careful and not to allow investment consultants to make trading decisions for them. Compliance unit should be immediately informed if a trading account is used without the

In recent times, investment management companies are significant and connected to country’s economic system and have been growing continuously. By the end of June 2018, the net asset value

Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on

Bangkok, March 1, 2016 -  The SEC has suspended {A}, a securities investment consultant at Bangkok Bank PCL., for failing to inform a client of material information, which consequently incurred

specific amount. She also executed transactions of mutual fund unit subscription, but not until she had transferred the subscription money to her own account first. In this regard, Sunisa submitted a

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

According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order

. She also executed transactions of mutual fund unit subscription, but not until she had transferred the subscription money to her own account first. In this regard, Sunisa submitted a written