seeking approval of investment analysts to pass examination on derivatives in addition to holding Certified Financial Planner (CFP) certification. Thai Bond Market Association bond dealer members will be
Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was
TikTok account "okj.stock_market" impersonates "Pluk Phak Praw Rak Mae Plc." : Unlicensed securities and derivatives business (Disclosure Date : 06/11/2024)
in exchanging news and information on capital market supervision and development, and rendering assistance in examination to the extent permitted by each country?s laws. In addition, the MOU will pave
client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint
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
Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market
of the Securities and Exchange Commission No. SorNor. 1/2554 Re: Examination and Disclosure of List of Foreign ETF Units and Application for Investment Allotment for Units of Foreign ETF By virtue of
supervision, the SEC requires all auditors in the capital market work with audit firms having quality assurance systems and expects to complete examination on audit quality of all 26 audit firms within this