80,348 Fundamental Investment Analyst on Capital Market 169 173 173 176 177 178 180 180 180 175 177 179 Fundamental Investment Analyst on Securities 862 865 869 871 870 876 879 883 885 856 857 859
having medium to high risk level without principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete
the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk
BROKERAGE SECURITIES COMPANY LIMITED SOCIETE GENERALE SECURITIES (THAILAND) COMPANY LIMITED THANSETTHAKIJ CAPITAL COMPANY LIMITED DEUTSCHE BANK DAOL INVESTMENT MANAGEMENT COMPANY LIMITED DAOL SECURITIES
own address and to submit capital reduction order for the client?s private fund. With the capital reduction payment, Thanjira bought investment units for the second client and Surasak. Moreover, she
, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved the relaxation on rules applicable to mutual funds for AIs (institutional and high net worth investors). The relaxed
Secretary-General revealed that the Capital Market Supervisory Board has approved revisions of investment rules applicable to retail funds and private funds to invest in financial instruments of the Greater
, especially those products for which the investment consultants receive high sales commissions or want to boost sales volume. Moreover, there was a lack of persons to monitor their investment after the
therefore suspended {A} from his duty as the approved securities investment consultant for one month, effective from February 23, 2015.---------------* Clause 20(2) of the Notification of Capital Market
. ___________________________ Note: The misconduct of the investment consultants, one of whom was also branch manager, is a violation of Clause 23(2), and a prohibited characteristic of capital market personnel under Clause 31