announced today the three-year Strategic Plan 2018-2020 with more focus on provision of wealth advice for long-term well-being of investors and promotion of sustainable efficiency in all aspects of market
Bangkok, February 20, 2015 - The SEC suspended {A}, a securities investment consultant of Siam Commercial Bank Plc. (SCB), for failure to provide complete information or advice. In this case, he
advice on derivatives investment without approval through many channels such as website, YouTube, email, phone, SMS and Line application. {A} and {B}, then investment consultants at KGI, cooperated with
and Exchange Commission  Kor Thor. 13/2563 Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of
investor protection in this regard, the SEC has set up a special investor support team to ensure assistance and advice on withdrawal, receipt of returned assets or transfer of digital assets. The 24-hour
). Prior to this appointment, she was Director of the Enterprise Risk Management Department, the Strategy and Planning Department, the Bond Department, the Portfolio Advice and Provident Fund Supervision
undertaking digital asset businesses wherein experts from CMKL University gave advice on how to improve the process for considering applications and granting digital asset business licenses. The
undertaking digital asset businesses wherein experts from CMKL University gave advice on how to improve the process for considering applications and granting digital asset business licenses. The licensing
was director of the Portfolio Advice and Provident Fund Supervision Department and later the Finance and General Administration Department. _______________________
securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and