duties as an investment consultant for a longer period, it is deemed that {A} has already served SEC’s suspension in full. Investors are strongly advised not to allow investment consultants or other
: Rules on Personnel in the Capital Market Business, as amended. (Executives are subject to penalties twice as higher than those imposed on investment consultants).
investment. The SEC thus encourages capital market business personnel, especially investment consultants, investment analysts and personnel who provide services of making decisions on investment for investors
investment consultants offered for sale of 5-year structured notes to the client. The client made investment based on the understanding that the bank would redeem the notes after six months as from the
ensuring that listed companies are capable of fully complying with relevant criteria, and sufficiently supporting investment decisions. Moreover, financial advisors give opinions to shareholders when listed
compulsory for renewal of approval for investment consultants, investment planners, investment analysts, agricultural commodity trading management officials, fund managers and derivatives investment managers
planner** for three months and 22 days, effective from 22 April 2019.The SEC strongly advises investors against allowing investment consultants to make securities trading decisions on their behalf
demonstrating inappropriateness for acting as capital market business personnel. Investors are strongly advised not to give passbooks and signed withdrawal slips to investment consultants to facilitate execution
consultants are not allowed to make investment decisions for investors, no matter if the investors give a consent or not, and they have to perform professional duties with loyalty and integrity at all times
Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report