Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
the core business of trading services. SEC Assistant Secretary-General Paralee Sukonthaman said: “Nowadays, growing information on investment products in the capital market makes most investors
Capital Market Business (No. 7) dated 30 August 2017. ** Investment consultant on non-complex products in the capital market and investment units or debt securities having high-risk or complex
Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's
from investment scams via various new forms and channels. In this regard, the SEC has observed a persistent trend of investment scams related to the capital market, with scammers often using online
particular professions, especially those with frequent job change, (iv) mutual funds for post-retirement, e.g., annuity like mutual funds which will help maintain long-term investment in the capital market
shares of another company as a joint investment with the client and would share capital gains with the client; however, she did not use the client’s money to invest in such shares, nor did she buy the
www.sec.or.th/seccheckfirst or through the SEC Check First mobile application. These channels aim to protect the public from falling victim to fraudsters involved in investment scams in the capital and digital
investment consultants: revoking approval of Auracha Vachirakulthon as securities investment consultant for 10 years, starting from December 22, 2015, and suspending approval of {B} and {C} as capital market