Complex Type 2 Investment Consultant
Bangkok, 24 November 2017 ? The SEC urges investors to read important information on the prospective listed companies to examine duty performance of company directors and executives before making investment decisions. Investor education, market discipline and stakeholder participation are also emphasized apart from supervision and enforcement.Mrs. Sirivipa Supantanet, SEC Assistant Secretary?General, said: ?Annual report and other reports such as quarterly financial statements and management dis...
notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
, which would help the visitors assess their risk tolerance before choosing financial products accordingly. Visitors are also welcome to participate in the SEC quiz games on the capital market and
their own discretion in choosing RMF or LTF destination funds if the transfer criteria are clearly disclosed beforehand in the fund scheme for the unitholders? information; - Requiring asset management
services as investment consultant and investment analyst and choosing products for investors. Moreover, providing research reports that cover ESG aspects of listed companies will urge listed companies to
principle of widespread distribution to general subscribers without specific allocation to any particular individual (cherry picking), and must not be an arbitrage in evasion of regulatory compliance
has not yet turned back to normal. However, the revenue from export has started picking up in March after we have changed the promotion policy in Malaysia. The domestic revenue has started picking up in