. Apparently, none of such information was submitted, except for the same document he submitted earlier to the Stock Exchange of Thailand (SET). Such document consists of 2 parts: the first covers his
. Previously, he was warned by the SEC and punished by Bualuang Securities Plc. as he failed to record his advice and clients' securities trading orders in the same year for three occasions. However, he kept
SCB ASSET MANAGEMENT COMPANY LIMITED|Cross Investing Fund | Offering Date : 11/12/2019 - 17/12/2019
31 March of each year may be used instead. This is to ensure that the fee calcualtion is based on more updated information. In any case, the fee rates remain the same without any revision. The
., Ltd. but he kept repeating the same mistakes.Investment consultants must keep taped evidence of their investment advice and a client's trading orders when obtaining derivative trading orders from
obligation is performed by trust managers. However, trusts are listed securities on the Stock Exchange of Thailand; SEC therefore requires them to disclose information in the same way as securities issuing
บริษัท หลักทรัพย์จัดการกองทุนไทยพาณิชย์ จำกัด|กองทุนรวมที่มีนโยบายเปิดให้มีการลงทุนในกองทุนรวมอื่นภายใต้ บลจ. เดียวกัน | วันที่เสนอขาย : 11/12/2562 - 17/12/2562
Bangkok, 27 March 2023 – As appeared in the news reports of certain news agencies and online media on 24 March 2023 that Zipmex Co. Ltd. (Zipmex) had not received investors’ payment for capital
}, a securities investment consultant of the same company, did not record their clients? securities trading orders. The three persons admitted that they took large amount of orders via mobile phone in
Bangkok, 15 January 2018 ? The SEC has announced today the three-year Strategic Plan 2018-2020 with more focus on provision of wealth advice for long-term well-being of investors and promotion of sustainable efficiency in all aspects of market development.The plan involves several key implementations, including support for entry of wealth advisory service providers, optimum utilization of technologies and innovations to facilitate fast and convenient market access, more efficient cost management...