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IS THIS THE DEATH KNELL FOR THAILAND’S ‘INDEPENDENT FINANCIAL ADVISERS’

In boiler rooms, independent financial advisers by Andrew Drummond

THAI SECURITY EXCHANGE BRINGS CRIMINAL CHARGES – SOME ARE LEAVING AND WEBSITES ARE DOWN With the announcement this week that Thailand’s Securities Exchange Commission is taking criminal action against an unregistered financial adviser almost certainly other cases will follow. But unfortunately, as is the case of international banks when they are caught out doing such things as laundering money for …

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A NICE DES RES FOR AN UNREGISTERED FINANCIAL ADVISER

In Alan Hall, Uncategorised by Andrew Drummond

INVESTOR ALERT – REGISTERED OR NOT DON’T GO WITH THAI BASED FINANCIAL ADVISERS Malada –  an artists impression The Thai Securities Exchange Commission has put up on its website investor alerts naming a number of foreign financial advisory firms which have not been registered in Thailand. They include several exposed on this site. A reader informed me today that PFM …