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

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securities investment consultants, had committed wrongful acts against clients at various branch offices as follows:                  (1)  In the case of Miss Surasa Mungthaworn, it was found that she had

Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional

Bangkok, October 6, 2014 ? The SEC revoked approval of  2 securities investment consultants for ten years; Thanjira Phonwattanakul (formerly named Natthareeya Kulpakawa), a consultant of Tisco Asset

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found that the aforesaid investment consultants proceeded with the redemption of long-term equity fund (LTF) units for clients in breach of the conditions for receiving tax benefits despite warnings

, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard

Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing