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
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
Bangkok, May 10, 2016 ?? The SEC invites investors and the public to visit SEC Café Working Space at Money Expo Bangkok 2016 to learn more about smart saving and investment tools that could help them to achieve personal goals.SEC Secretary-General Rapee Sucharitakul said, ?Saving and investment is important at every stage of our lives. We therefore encourage the public to make a viable financial plan that could support their life goals. This year we feature investment knowledge updates, edutainm...
Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or
on investment advisor via crowdsourcing which are required to be granted SEC licenses. Investment advice must be made to general, not specific, investors and must be independent advice without
Bangkok, May 10, 2016 ? The SEC invites investors and the public to visit SEC Café Working Space at Money Expo Bangkok 2016 to learn more about smart saving and investment tools that could help them to achieve personal goals.SEC Secretary-General Rapee Sucharitakul said, ?Saving and investment is important at every stage of our lives. We therefore encourage the public to make a viable financial plan that could support their life goals. This year we feature investment knowledge updates, edutainm...
Bangkok, May 10, 2016 ?? The SEC invites investors and the public to visit SEC Café Working Space at Money Expo Bangkok 2016 to learn more about smart saving and investment tools that could help them to achieve personal goals.SEC Secretary-General Rapee Sucharitakul said, ?Saving and investment is important at every stage of our lives. We therefore encourage the public to make a viable financial plan that could support their life goals. This year we feature investment knowledge updates, edutainm...
services through business operators in the host country, prohibition of giving advice to particular customers and soliciting for sales of the capital market products. Each ACMF member may issue additional
liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to
violation specified in the Notification of the Capital Market Supervisory Board.* The SEC therefore revoked the approval of Nutnicha as a branch manager and capital market investment consultant and banned