their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market
their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his
Thai Reporting Resault of Sales of Securities การใช้คุกกี้ ก.ล.ต. ใช้คุกกี้จำเป็นเพื่อการทำงานของเว็บไซต์ และอาจใช้คุกกี้ชนิดจดจำ
Bangkok, April 20, 2016 ? The SEC is seeking public comments on draft amendments to the rules concerning the categorization of salespersons and sales process of capital market products to promote
providing services to clients with loyalty while applying knowledge and skills with discretion as professional. In the case of SKFM, SEC ordered the company, a small-sized asset management company whose
Thai Reporting Resault of Sales of Securities (exemption) การใช้คุกกี้ ก.ล.ต. ใช้คุกกี้จำเป็นเพื่อการทำงานของเว็บไซต์ และอาจใช้
SEC has received information that Ronghui has invited retail investors to join certain investment by informing that their money will reinvest in real estate projects or investment projects of other companies, which offer high returns along with having minimum investment amounts and an investment period no more than one year. Promotions such as financial rewards or bonuses are also being publicized through telephone, leaflets, brochures, event booths at office buildings and Facebook adver...