Post by account_disabled on Jan 1, 2024 11:14:12 GMT 7
SEC orders suspension of approval to be an investment adviser for complex instruments, Type 1, investment planner and branch manager Ms. Kanokwan Wongpanich (maiden name Chaimongkol) for a total of 14 months for seeking benefits from investors by using work opportunities. and providing information or advice to investors without any supporting information or documents to rely on while committing an offense under AEC Securities Public Company Limited or AEC Securities is currently affiliated with another securities company in the position of branch manager. The Securities and Exchange Commission (SEC) received a complaint from a customer. And further investigation found that between 2015 and 2016, Ms. Kanokwan Wongpanich (maiden name Chaimongkol) while committing an offense was under AEC Securities (currently under another securities company) in the position of branch manager) has sought benefits from investors by taking advantage of work opportunities.
They received benefits worth more than 1.7 million baht from persuading Country Email List customers to buy shares from others outside the stock exchange. and persuade customers to lend money to other people which is not performing duties or providing services with honesty* In addition, Ms. Kanokwan gives information or advice to investors without any supporting information or documents to use as a reference. This is a failure to perform duties responsibly and carefully like a professional** The SEC therefore suspends approval of investment advisors for complex instruments, type 1, investment planners. and branch manager The basis is seeking benefits from investors based on operational opportunities. and the base provides information or advice to investors without any supporting information or documents for reference for 14 months.
The SEC would like to emphasize that investors should be careful when soliciting to buy stocks outside the stock exchange and conducting financial transactions with other people. Including checking documents or information supporting investment invitations. You may inquire directly from the securities company under the investment adviser. Or inquire from the Stock Exchange or the SEC before deciding to invest. The main mission of templatesyard is to provide the best quality blogger templates which are professionally designed and perfectlly seo optimized to deliver best result for your blog. Newer Article The SEC Is Preparing To Adjust The Criteria For Granting Permission To Sell IPO Shares Of Holding Companies To Increase Flexibility In Business Structure. Older Article Change Management Is The Biggest Challenge For Life Insurance Businesses Around The World.
They received benefits worth more than 1.7 million baht from persuading Country Email List customers to buy shares from others outside the stock exchange. and persuade customers to lend money to other people which is not performing duties or providing services with honesty* In addition, Ms. Kanokwan gives information or advice to investors without any supporting information or documents to use as a reference. This is a failure to perform duties responsibly and carefully like a professional** The SEC therefore suspends approval of investment advisors for complex instruments, type 1, investment planners. and branch manager The basis is seeking benefits from investors based on operational opportunities. and the base provides information or advice to investors without any supporting information or documents for reference for 14 months.
The SEC would like to emphasize that investors should be careful when soliciting to buy stocks outside the stock exchange and conducting financial transactions with other people. Including checking documents or information supporting investment invitations. You may inquire directly from the securities company under the investment adviser. Or inquire from the Stock Exchange or the SEC before deciding to invest. The main mission of templatesyard is to provide the best quality blogger templates which are professionally designed and perfectlly seo optimized to deliver best result for your blog. Newer Article The SEC Is Preparing To Adjust The Criteria For Granting Permission To Sell IPO Shares Of Holding Companies To Increase Flexibility In Business Structure. Older Article Change Management Is The Biggest Challenge For Life Insurance Businesses Around The World.