Complex Type 2 Investment Consultant
Plain Investment Consultant
Bangkok, June 17, 2014 ? SEC urges securities and asset management companies to concretely consider supporting anti-corruption with disclosure of Anti-corruption Progress Indicator of listed companies in the research. Meanwhile, securities and asset management companies are also urged to become a role model for anti-corruption practices as the Indicator of each business operators will be publicized from 2016 onwards.Chalee Chantanayingyong, SEC Deputy Secretary-General, said following disclosure...
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Bangkok, March 18, 2015 ? The SEC suspended {A}, a securities investment consultant and a branch manager of Bangkok Bank Plc., for failure to inform the client of sufficient information which was
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
Bangkok, 28 April 2017 ? The SEC has ordered the Board of Directors of Polaris Capital Public Company Limited (POLAR) to further clarify individually within 15 days on the company's failure to hold