) Philippines, and starts with providing analysis and advice on securities not having complex characteristics, such as stock, bonds, mutual fund, collective investment schemes (CIS) and real estate investment
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of
capital market. This is to allow existing business operators, apart from securities companies, financial institutions, or newly established companies as specified in the current ministerial regulation, to
+ 66 (2) 6452828, + 66 (2) 6452829 VAT ID 0107538000151 Thailand W www.wiik-hoeglund.com LWH/SET/19/01/LT001 January 4, 2019 Subject: Information on the investment in WOG ITR Water Solution Company
must comply with derivatives investment rules and be managed with due care for the benefit of investors. Maximum limit of derivatives investment must be set and clearly stated in the prospectus together
and deliberation as a professional. His misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended his approval as securities investment
planning whereby securities brokers and derivatives agents would be allowed to offer services on asset allocation and investment planning in the forms of program trading and portfolio advisory with
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for