The SEC has disclosed the statistics on the reporting of investment scams in the capital market through the Investment Scam Hotline 1207, extension 22. The reporting system is also available on
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
return rate and the investment term were written on the cover of the client's fund book. The SEC has therefore suspended approval for {B} as a securities investment consultant for a period of two years
}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving
Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
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
lands to securities. In this regard, in January 2024, the SEC Board and the Capital Market Supervisory Board (CMSB) approved in principle the issuance of regulations to facilitate the use of an investment
Bangkok, June 15, 2016 ? The SEC is seeking public comments on the proposed amendments to the rules governing investment of private funds and mutual funds offered for sale to accredited investors.The