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, 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, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...
records previously obtained remain accurate, complete, and up-to-date in accordance with the following provisions:- (1) periodically review the client’s records previously obtained. In this regard, the
ensure that the client’s records previously obtained remain accurate, complete, and up-to-date in accordance with the following provisions:- (1) periodically review the client’s records previously obtained
review process to ensure that the client’s records previously obtained remain accurate, complete, and up-to-date in accordance with the following provisions:- (1) periodically review the client’s records
analyst on fundamental factors who obtained an approval by virtue of any qualifications other than No. 56 − Examination not required but must complete a full course or a refresher course for renewal of
Qualifications No. 6.7 − − − − 9 Former investment planner who obtained an approval by virtue of any qualifications other than No. 6.8 Examination not required but must complete a full course or a refresher course
who obtained an approval by virtue of any qualifications other than No. 7.10 Examination not required but must complete a full course or a refresher course for renewal of approval11 Examination not
fund operators file with SEC, instead of using BOT’s portfolio and derivative investment aboard (PIA) form.To ensure complete information in the report which will replace the PIA, SEC has proposed