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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

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List of investment analysts / investment consultants classified by company

List of investment analysts / investment consultants classified by company Please wait... List of investment analysts / investment consultants classified by company Please enter search criteria. Date

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SEC support wealth advisors to use fintech to guide people’s investment, disclosing supervision for ICO of securities tokens

investment or have had enough money for long term. Therefore, SEC has gone ahead with the main strategic plan this year, promoting qualified wealth advisors easily accessible by people to use fintech as the

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8688

Investor Alert : Facebook Page ชื่อ Investment fund

Facebook Page ชื่อ Investment fund : Unlicensed securities and derivatives business (Disclosure Date : 12/12/2023)

http://market.sec.or.th/public/idisc/en/Viewmore/invalert-det?CaseID=526&CaseYY=2566

SEC suspends approval for two investment consultants

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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6937

SEC suspends a securities investment consultant

Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete

https://www.sec.or.th/TH/Pages/News_Detail.aspx?SECID=5757

SEC launches Investment Governance Code (I Code)

Bangkok, 23 February 2017 ? The SEC has launched the Investment Governance Code (I Code) as a guideline for responsible and sustainable investment management of institutional investors. The seven

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6623

SEC relaxes regulations on foreign investment products

Bangkok, May 14, 2014 ? The SEC allows broader investment in foreign investment products and permits more business operators to provide services in foreign currency denominated securities. SEC

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5408