the cooperation to disseminate knowledge on finance, investment and savings and to train personnel to ensure they have financial knowledge and understanding so that they can transfer it to students
first place. The clients therefore suffered damage.The 10 investment consultants worked for five securities companies, namely: (1) Capital Nomura Securities Public Company Limited, (2) Kasikorn Securities
Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was
} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A
-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital
Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any
capital market businesses. More investment channels to support convenient and continuous investment in mutual funds will back the government policy to promote saving and investment discipline and
own address and to submit capital reduction order for the client?s private fund. With the capital reduction payment, Thanjira bought investment units for the second client and Surasak. Moreover, she
Lor Thor 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014. The SEC has therefore revoked Atchmima's approval as securities investment consultant for 10 years, and
Bangkok, October 16, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved to revise the regulations on services concerning investment in