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Statistics of approved investment analysts / investment consultants Please wait... Statistics of approved investment analysts / investment consultants Type of License April 2021 May 2021 June 2021

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SEC urges CWT shareholders to exercise voting rights in the proposed waste incineration plant investment project

, and LAWI, waste management agreement with the municipality, power purchase agreement with the Provincial Electricity Authority. Besides, based on CWT?s assumption, IFA also found that if investment in

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5994

SEC issues rules to facilitate investors’ use of alternative tools to increase investment efficiency

, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7420

SEC public hearing on proposed rules for promoting facilitators in asset allocation and investment planning

must make a prior agreement with the clients the asset allocation or the investment planning services and parameters set in advance which are based on house view. In addition, the intermediaries must

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7344

SEC public hearing on proposed amendments to PVD Act to enhance oversight efficiency and investment flexibility

principle, which contain the following essences: 1. revising the PVD Act to address the growing demand for pooled funds: Employers and employees shall have a mutual agreement that allows employees

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10218

SEC public hearing on drafted amendment regulations on repurchase or reverse repurchase agreement (repo/reverse repo) of the securities companies and the derivatives intermediaries

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=649

List of investment analysts / investment consultants classified by company

List of investment analysts / investment consultants classified by company Please wait... List of investment analysts / investment consultants classified by company Please enter search criteria. Date

https://market.sec.or.th/public/orap/IC03.aspx?lang=en&CompRunCode=

SEC penalizes an investment consultant for 5 years due to duty performance without loyalty, causing damage to clients

strongly advised to thoroughly check and make sure that all receipts or evidence of payment are issued by the companies in charge. In case of making an agreement to buy an investment product outside the

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8075

SEC penalizes three former investment consultants for failing to properly discharge their professional duties with loyalty, responsibility, and care.

the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8817