Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the
seminar, launching the “#ThaiPeopleStayInformed: Anti-Scam Digital Literacy Hub” Initiative in collaboration with the Ministry of Digital Economy and Society (DE) and partners from the public sector and
Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC suspended approval granting to {A} as a capital market investment consultant for three months; according to the sanction
, 2012. In this regard, the SEC suspended her from duty as an approved capital market investment consultant for a period of five months. Taking into account that she has already been suspended for two
Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the
Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report
, being well aware that prevention of those scams needs collective efforts of all relevant parties, has called for collaboration of business operators, i.e., securities companies, investment management
Multilateral Collaboration initiative serves as a vital platform connecting business operators, social entrepreneurs, and community enterprises. It reflects the commitment of all sectors to join forces in
SEC is conducting a public hearing on the principle excluding promulgation of research analysis among investors in ASEAN countries from being regarded as the activity of investment consultant, in