.,Ltd to the address changed by her request. In case of the second client, Thanjira had signed the client?s name for submission of investment unit switching and buying orders and changed the address for
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional
In recent times, investment management companies are significant and connected to country’s economic system and have been growing continuously. By the end of June 2018, the net asset value
? money intended for payments of investment unit purchases for personal gains.In so doing, they did not execute their clients' purchase transactions via the bank system, counterfeited fund passbooks and
According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order
served.Investors are strongly advised to be careful and not to allow investment consultants to make trading decisions for them. Compliance unit should be immediately informed if a trading account is used without the
Following the complaints from investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units
According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant
investors better. Key changes in the amendment include:- Expanding the payment amount of redeemed investment units on the unit trading day- Allowing asset management companies to fix the fund’s constant net
case of concerns of doubtful events, investors should contact the compliance unit promptly. In any case, investment consultants must accept trading orders from the account owners or the persons who