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
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
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
.?? _______________________________Note: The misconduct of the five investment consultants were in violation of Clause 23(2) and 23(3), and liable to the prohibited characteristics of personnel in the capital market under Clause 31(1) of
The Securities and Exchange Commission (SEC), led by the Capital Market Education Department, collaborated with SEC Ambassador in organizing a workshop on “Financial Investment Knowledge,” featuring
holding the position of acting branch manager at the bank.** The SEC has therefore revoked the approval as an investment consultant, which consequently disqualified her from performing duties as capital
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
served.*Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving
The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, in collaboration with SEC Ambassadors, delivered a financial and investment lecture to 80
investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years