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Documents of Eveidence 1 ● Unauthorized use of a trading account by investment consultant ●  Damage caused by inappropriate advice or incomplete information given by investment consultant/unit seller. ●  Full

Investment Trusts  ​ ​ ​Experiences ​ Chief Executive Officer, Association of Investment Management Companies (AIMC) ​Director of AIMC ​Member of TBMA Market Practice Committee ​Member of Capital Market

/derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2 ______________________________ 1  In case

accommodate fluctuations; and supported for development of professional standards. Investors Accessing to information and making investment decisions with confidence; being treated fairly in securities trading

income, subsidies from the Stock Exchange of Thailand, investment revenue and others. All criminal fines from offence cases under the law enforcement are to submit to the Ministry of Finance as revenue to

objectives for administration of the regulations and rules are as follows: Investors have access to information and make confident decisions on investment. The capital market is operated with fairness

holder CAIA Association Chartered Alternative Investment Analyst, awarded in 2011 and a current charter holder ​ ​ ​Current Appointment ​​Deputy Secretary-General, SEC​ Experiences ​​​​ Securities and

., investment consultants 1 and listed companies 2 ______________________________ 1  In case https://www.sec.or.th/EN/Pages/AboutUs/SECPeople.aspx English (United States) SECDoc Solicitation or advice on

ชอบท่ีกฎหมายก าหนดอยา่งชดัเจน และ ในกรณีท่ีมีการก ากบัดูแลร่วมกนัระหวา่งหน่วยงานก ากบัดูแล (shared responsibilities) ไดมี้การระบุ กรอบอ านาจหนา้ท่ีระหวา่งหน่วยงานก ากบัดูแลอยา่งชดัเจนและครบถว้น รวมทั้ง