Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities

However, the submitted information still lacks main points to accompany consideration. The SEC has therefore instructed Zipmex in writing to provide complete details of the incident, which includes

Kacha Buacharoon, a securities investment consultant of Phillip Securities, for failure to keep complete records of clients? securities trading orders.Following the investigation report of Phillip

ensure that investors would be informed of up-to-date, complete and sufficient information for investment decision-making in line with the globally recognized standards of the International Organization of

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

Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate

not required but must complete a derivatives knowledge course. − 4 Passed new curriculum of Certified Financial Planner (CFP).5 − ✓ − − 5 Approved or registered to perform similar duties to investment

Minister to grant his approval on establishment of limited company or public limited company within ninety days from the date on which the SEC Office receives complete application and supplementary documents

Ethics of Investment Analyst 6 Former investment analyst on technical factors. 6 − Examination not required but must complete a full course or a refresher course for renewal of approval.7 Examination not

on which the SEC Office receives complete application and supplementary documents. The Minister shall complete his consideration thereon within thirty days from the date of receiving the SEC’s