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
any transaction not their own, or risk being exploited for an offense without their knowledge or subject to litigation in connection with an investment consultant?s misconduct
) Transaction Data, which include the volume and proportion of allocated digital tokens, the allocation price, the trading orders, the trading price and volume, and the transactions related to deposit, withdrawal
According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant
not be in breach of LTF and RMF criteria. In all cases, investors should seek full information of the products and study it carefully before making an investment transaction via any platform, mobile
structured note offering documents without making contact or giving investment advice to investor which caused the transaction to sell structured notes to be executed as if the investment consultant had
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
the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during 22 September 2017 – 24 February 2018, {A}, then a securities investment consultant at the