80,348 Fundamental Investment Analyst on Capital Market 169 173 173 176 177 178 180 180 180 175 177 179 Fundamental Investment Analyst on Securities 862 865 869 871 870 876 879 883 885 856 857 859
Bangkok, September 20, 2013 - The SEC imposed a one-month suspension on {A}, a derivatives investment consultant of Asia Plus Securities Plc. for trading derivatives on behalf of her client.Following
CLASSIC GOLD FUTURES COMPANY LIMITED CLASSIC GOLD COMPANY LIMITED CLASSIC AUSIRIS FUTURES COMPANY LIMITED QUANTUM WEALTH INVESTMENT ADVISORY SECURITIES COMPANY LIMITED COINDEE COMPANY LIMITED COINS TH
Bangkok, February 11, 2013 - The SEC imposed a one year suspension on {A}, a capital market investment consultant of Finansia Securities Plc., effective from February 8, 2013; and also disclosed
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
Securities Plc., {C} of KT ZMICO Securities Co., Ltd., {D} and {E} of GT Wealth Management Co., Ltd., effective from October 12, 2012 and (2) publicly disclosed investment consultant {F}'s inappropriate
Bangkok, December 4, 2012 - The SEC suspended {A} of Finansia Syrus Securities PLC for four months and 15 days; and also suspended {B} of Hua Seng Heng Gold Futures Co., Ltd. for three months
Bangkok, October 10, 2013 - The SEC imposed a two-month suspension on {A}, a securities investment consultant of Capital Nomura Securities Plc. and a one-month suspension on {B}, a securities
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