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
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
Bangkok, June 26, 2014 - The SEC suspended {A}, a former securities investment consultant of Capital Nomura Securities PLC., for trading securities on behalf of client. Following the report of
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients
the true owner of the trading account, and adding a new contact phone number to the client's personal profile even though there was no evidence that the client had ordered the responsible investment
investment consultants: revoking approval of Auracha Vachirakulthon as securities investment consultant for 10 years, starting from December 22, 2015, and suspending approval of Nattapon Chalermpot and
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
Bangkok, October 24, 2014 - The SEC suspended two capital market investment consultants namely {A}, a consultant of Bualuang Securities PLC., for trading securities on behalf of clients and {B}, a
Bangkok, July 8, 2015 ? The SEC suspended three investment consultants for making trading decisions on the clients? behalf. Those investment consultants were Ashiya Ashiyakul, a former capital market