Financial Advisor โปรดรอสักครู่... กลับไปค้นหาใหม่ รายชื่อ FA รายชื่อผู้ควบคุมการปฏิบัติงาน รายชื่อบริษัทที่ปรึกษาทางการเงินที่ได้รับความเห็นชอบจากสำนักงานคณะกรรมการ ก.ล.ต. List of Financial Advisor
Bangkok , June 21, 2011 - The SEC has put Weerawat Sriwattana on probation for non- compliance with standards of conduct as a financial advisor supervisor for a company filing for the SEC?s approval
Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its clien...
Bangkok, June 23, 2011 - The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from performing duty as an executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated that his misconducts on clients? assets involved dishonesty, deceit or embezzlement and wrongful use of client?s assets. Following the complaint lodge...
ผู้ให้บริการ Portfolio Wealth Advisor วางแผนการลงทุน การเริ่มต้นลงทุน DCA/กลยุทธ์การลงทุนต่าง ๆ การจัดพอร์ตลงทุน (Portfolio Wealth Advice) เครื่องมือรู้จักตัวเอง และคำแนะนำจัดสรรวงเงิน เครื่องมือ
Bangkok, May 13, 2011 ? The SEC has put Akekajak Buahapakdee, a financial advisor supervisor of Capital Nomura Securities Plc., on probation for breaching his duties as financial advisor for initial
Bangkok, December 23, 2013 - The SEC suspended three financial advisor supervisors, namely {A}, then an employee of {X1} Co., Ltd., {B} of {X1} Co, Ltd., and {C} of {X2} Plc. The suspension resulted
, increasingly emphasize the importance of audit quality factor in the selection of auditors. Qualitative information in the firm inspection report is thus very useful for the selection process. In addition, the
Bangkok, June 23, 2011- The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from acting as an executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated his fraud commission, embezzlement, falsying documents with the intention to illegitimately seek benefits from client?s assets. Following the complaint filed by...
Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2014 | Close Selling Date : 00/00/0000