statement indicating that the client had signed the documents to open the securities trading account in witness of an investment consultant. Nonetheless, {B} admitted that she was the one who processed such
Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the
, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment
that Sakorn solicited the person to purchase BSEC shares based on the insider information that OSK Investment Bank Berhad (OSKIB) in Malaysia was interested in buying BSEC shares from Bangkok First
Bangkok, November 5, 2015 ?The SEC is seeking public comments on the proposed relaxation to the rules governing investment policy of mutual funds offered for sale to accredited investors, i.e
Following the tips from various sources to SEC, several investment solicitations have been found via online channels such as websites, Facebook and YouTube regarding the products that may be liable
Bangkok, 20 October 2016 - The SEC has suspended approval of 11 investment consultants of six securities companies for soliciting investors to purchase IPO and over-the-counter shares to seek
On 21 November 2023, the Cabinet approved the principles for tax incentive measures to promote sustainable investment in Thailand for a 10-year tax period (2023-2032), leading to the support for
transactions must be transferred into the securities account of the responsible securites company only, and that accepting a deposit of shares from any investment consultant into investors? own trading accounts
transactions must be transferred into the securities account of the responsible securites company only, and that accepting a deposit of shares from any investment consultant into investors? own trading accounts