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
-account of a Thai intermediary’s omnibus account only. Moreover, investors may also transfer their investment portfolio from one Thai business operator to another Thai business operator and may transfer
negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s
Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on
that involves transfer of subscription money to personal bank accounts of investment consultants because such arrangement could be used as a channel for committing dishonest acts and it might lead to a
transactions showing the issuer's relation with other persons who may have a conflict of interest, measures to prevent such conflicts and oversight of improper transfer of benefits, and (4) the management's
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
to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
permissible rate of 15 percent. The majority of PVDs invest as much as 85 percent of the total investment money in debt securities and bank deposits. Such low-risk, low-return pattern results in slow fund