Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for misconduct related to the offences of the investment consultants. Following an inspection report of {X1},...
Offeror : (1) MR. VORAJATE INDAMARA (2) MR. SOMPHOTE AHUNAI | Date of submission of the Statement of Intention : 27/10/2006
procedures for change of agent to collect and receive payments of debt. Currently, regulations have not been prescribed for the said matters.To ensure that the private sector will have clear guidelines for
Navista Global Markets Ltd. Navista Global Markets Ltd. (Navista) operated derivatives business without license by representing itself to the general public as a gold futures trading agent. The
GISP Ltd. GISP Ltd. (GISP) operated derivatives business without license by representing itself to the general public as a gold futures trading agent. The company contacted and solicited the public
investment. At this stage, Thailand Post, Counter Service at 7-11 and other leading retail shops as well as Tesco Lotus will offer paying agent service for investment in mutual fund at every branch across the
futures trading agent. The company contacted and solicited the public as well as disseminated related investment documents and information through various channels including website www.famarkets.com to
retail shops as well as Tesco Lotus will offer paying agent service for investment in mutual fund at every branch across the country. In the future, they might move forward to other capital market
regarding the criteria, conditions, and procedures for change of agent to collect and receive payments of debt. Currently, regulations have not been prescribed for the said matters. To ensure that the private
Notification: (1) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management