Investment Advice dated January 18, 2012. Accordingly, the SEC suspended {A} for two months and {B} for one month from their duties as the approved securities investment consultants.
Montpelier Financial Consultants : Unlicensed securities and derivatives business (Disclosure Date : 04/04/2013)
Bangkok, May 9, 2014 ? The SEC is seeking public comment on proposed revision of regulation on capital requirements for securities and derivatives investment advisors (IA) as well as brokers, dealers
Bangkok, September 23, 2015 ? Mr. Pariya Techamuanvivit Director, Corporate Affairs Department revealed that the SEC is currently seeking public comments on the draft rules regarding underwriting business.? The objectives of the rule-amendment are to promote flexibility and prevent conflict of interest. The proposal has undergone series of discussions with various stakeholders including securities underwriters. The proposed new rules cover the addition of municipal bond as securities, and filing...
Statistics of approved investment analysts / investment consultants Please wait... Statistics of approved investment analysts / investment consultants Type of License April 2021 May 2021 June 2021
Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1
Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension
Bangkok, June 10, 2014 - The SEC suspended two capital investment consultants, namely {A} and {C}, and a securities investment consultant {B} for trading securities on behalf of the client and
Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus