Bangkok, 4 March 2024 – The Securities and Exchange Commission (SEC) has released a handbook for convening effective and transparent bondholders’ meetings while promoting the exercise of bondholders
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, July 31, 2013 - The SEC suspended three investment consultants of ZMICO Securities Co., Ltd; two-month suspension on {A} and {B}, and one-month suspension on {C}. In this connection, the
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Bangkok, September 23, 2013 ? The SEC is now seeking public comment on introducing an approval regime for technical analyst and the revisions of qualifications of investment analysts and investment
digital asset market. 4. Ensuring Clear, Transparent, and Timely Disclosure of Material Information: To support informed investment decisions, the SEC has put in place measures including
explanation to the SEC accordingly. In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities
Bangkok, June 13, 2013 - The SEC suspended two capital market investment consultants of Finansia Syrus Securities Plc; namely {A} for two months and {B} for one month.The SEC's routine inspection of
Bangkok, March 13, 2015 - The SEC suspended two investment consultants of RHB OSK Securities (Thailand) Plc. {A}, a securities investment consultant, was suspended for trading securities on behalf of
Bangkok, June 25, 2015 - The SEC suspended {A}, a former capital market investment consultant of Phillip Securities (Thailand) Public Co., Ltd., for making trading decision on client's behalf and