List of investment analysts / investment consultants classified by company Please wait... List of investment analysts / investment consultants classified by company Please enter search criteria
phone, the investment consultant must keep complete record of those orders as evidence for examination and source of orders. In this regard, the SEC urges the clients not to assign the investment
of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore sanctioned three investment consultants as follows: 1. Suspended {A} from her
Wasana Chaiyawuth, a capital market investment consultant of Krungsri Securities. In addition, the SEC suspended Monta Pinooncharoensit, a former capital market investment consultant of Krungsri Securities
investment consultant of Krungsri Securities. In addition, the SEC suspended {D}, a former capital market investment consultant of Krungsri Securities, for failure to perform her duty in compliance with the
any in accordance with the compromise agreement. {B} (formerly named {C}), the investment consultant for the securities trading account of such client, failed to perform investment consultant?s duties
Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, revoked the approval as securities investment consultant of {A} and set the period to accept her re
suspended her approval of the capital market investment consultant and investment planner for 6 months, effective from December 9, 2014.Note: *Clause 23(1) and prohibited characteristics of personnel in the
statement indicating that the client had signed the documents to open the securities trading account in witness of an investment consultant. Nonetheless, {B} admitted that she was the one who processed such
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