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
recommendation of the candidate proposed by the SEC Board. Secretary-General holds office for a four-year term and may be re-appointed but not for more than two consecutive terms. Click here to download
Consideration of Regulations on Supervision of Business and Market Intermediaries, Sales Conduct and Provision of Investment Advice Member of the Sub-committee on Consideration of Regulations on Issuance and
Supervision of Business and Market Intermediaries , Sales Conduct and Provision of Investment Advice Experiences Independent Director, Audit Committee Member, and Corporate Governance Committee Member
. The SEC Board comprises: Chairman appointed by the Cabinet upon the Finance Minister’s recommendation; Commissioners , namely: 1. Permanent Secretary of the Ministry of Finance; 2. Permanent
., 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
information or advice by insurance broker ● Unable to claim insurance compensation Office of the Insurance Commission (OIC) Telephone: 1186 Website: www.oic.or.th ● Poor consumer product quality Office of
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