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 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
/ investment analysts / unit sellers to give information or advice on the invested products or services, which may cause damage to the investment Solicitation or fraud by unlicensed or unapproved entities, for
case of a complaint related to services of a securities or asset management company under the SEC supervision, first of all, the complainant should contact the compliance unit of the company directly
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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
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