while in fact the person had received investment advice from another Kasikornthai employee who was not an approved investment consultant. {B}, the manager of the branch where the client received
follows: (1) During February – March 2017, Nutnicha solicited a client to buy IPO shares of a company, claiming that she had the right to buy such shares as an employee of Apple Wealth Securities. She
Bangkok, November 17, 2014 ?The SEC revoked the approval of Nakul Chaiyanil, a former fund manager for ten years for failure to perform his duty with honesty in relation to management of 101 Montri
separate the positions of the Chairman and the Manager. Accordingly, the Stock Exchange of Thailand will also adopt this principle for existing listed companies. It is expected that the requirement
Advisor” and “Digital Asset Fund Manager” shall be two new types of digital asset business subject to SEC’s supervision. Therefore, any person who wants to conduct any of these new businesses is required to
Advisor” and “Digital Asset Fund Manager” shall be two new types of digital asset business subject to SEC’s supervision. Therefore, any person who wants to conduct any of these new businesses is required to
by requiring the auditors to obtain prior approval from SEC. In addition, the auditors must be associated with the audit firms recognized by SEC. The auditors, however, shall not be director, manager
employee in the portion of the employee’s saving separately from the employer’s saving, specifying the employer’s duty to notify the fund manager of an employee’s membership termination or the employee’s
, another KBANK employee who was not an approved investment consultant gave advice to the client in such a way that caused the client to misunderstand that the investment was a deposit transaction because the
investigation, it was found that Niran, a KBANK employee at the time, had solicited a client to purchase units of a mutual fund but did not execute the subscription order for the client. Instead, he