plus a fine.In the case of {B}, BBL's inspection report and the SEC's further investigation have revealed that she affixed her signature in the Investment Consultant Box of the LTF (long-term equity

market business personnel in the categories of investment consultant, investment planner, investment analyst, agricultural commodity trading management official, fund manager and derivatives investment

three offenders from performing duties as branch manager in the capital market business and suspended their approval as investment consultant and investment planner for four months each; {I}'s suspension

therefore imposed the following sanctions:             (1)  Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15

market investment consultant for 6 months. As {A}'s approved capital market investment consultant status only lasts until December 31, 2014, his approved status was suspended until that date while the rest

services as investment consultant and investment analyst and choosing products for investors. Moreover, providing research reports that cover ESG aspects of listed companies will urge listed companies to

}: considering the level of her wrongful conduct, her status as an approved securities investment consultant should be revoked. However, since the said status had already expired on 31 December 2019. SEC

Thai investment การใช้คุกกี้​ ก.ล.ต. ใช้คุกกี้จำเป็นเพื่อการทำงานของเว็บไซต์  และอาจใช้คุกกี้ชนิดจดจำข้อมูลซึ่งคุณสามารถเลือกเปิด

Bangkok, March 18, 2015 ? The SEC revoked the approval of a financial advisor supervisor, namely {A} of KPMG Phoomchai Business Advisory Ltd., for willfully imparting false statement and concealing

9556, 9935, 9822 or 6076. The criteria for considering whether or not a person operates any of the aforesaid businesses are as follows:   (1) In the case of “digital asset investment consultant