Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was
performing any action in violation of law.The SEC probe into the case and found that the four investment consultants, responsible for securities trading accounts of overseas brokers (omnibus account
Secretary-General revealed that the Capital Market Supervisory Board has approved revisions of investment rules applicable to retail funds and private funds to invest in financial instruments of the Greater
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
Bangkok, November 5, 2015 ?The SEC is seeking public comments on the proposed relaxation to the rules governing investment policy of mutual funds offered for sale to accredited investors, i.e
} and {B}, two securities investment consultants, and {D}, a capital market investment consultant, failed to completely record a client's securities trading orders. Furthermore, the second investigation
service for investment in mutual funds; and (5) demonstrate readiness in terms of financial condition, operational systems and human resources.?The new type of selling agents will not only promote
Bangkok, April 24, 2014 ? The SEC urged investors to make prudent investment decision concerning information on fund establishment and forward-looking on profits of listed firms.Chalee
Thai investment การใช้คุกกี้ ก.ล.ต. ใช้คุกกี้จำเป็นเพื่อการทำงานของเว็บไซต์ และอาจใช้คุกกี้ชนิดจดจำข้อมูลซึ่งคุณสามารถเลือกเปิด