warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance

Thai investment การใช้คุกกี้​ ก.ล.ต. ใช้คุกกี้จำเป็นเพื่อการทำงานของเว็บไซต์  และอาจใช้คุกกี้ชนิดจดจำข้อมูลซึ่งคุณสามารถเลือกเปิด

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The SEC Secretary-General together with the Management Team convened a joint meeting yesterday with the Investment Banking Club led by President Mr. Somphop Keerasuntonpong to discuss cooperation in

Bangkok, June 25, 2015 - The SEC suspended {A}, a former capital market investment consultant of Phillip Securities (Thailand) Public Co., Ltd., for making trading decision on client's behalf and

Bangkok, April 24, 2015 - The SEC imposed sanctions on three investment consultants namely {A}, a securities investment consultant and branch manager, {B}, a capital market investment consultant and

Bangkok, July 8, 2015 ? The SEC suspended three investment consultants for making trading decisions on the clients? behalf. Those investment consultants were Ashiya Ashiyakul, a former capital market

Bangkok, July 8, 2015 - The SEC suspended three investment consultants for making trading decisions on the clients' behalf. Those investment consultants were {A}, a former capital market investment

Bangkok, March 13, 2015 - The SEC suspended two investment consultants of RHB OSK Securities (Thailand) Plc. {A}, a securities investment consultant, was suspended for trading securities on behalf of