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
and relevant to the client's investment decision. From the Stock Exchange of Thailand's securities trading inspection report on Electronics Industry Public Company Limited (EIC), the SEC further probed
) Philippines, and starts with providing analysis and advice on securities not having complex characteristics, such as stock, bonds, mutual fund, collective investment schemes (CIS) and real estate investment
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
continue to monitor and update news and information of the invested shares through the Electronic Information System of the Stock Exchange, the issuer's annual report or newspapers. Shareholders should also
of investment in Day Poets Co., Ltd (A day). On 27 March 2017, POLAR disclosed information through the Stock Exchange of Thailand (SET) concerning four issues as follows: (1) refusal to hold an EGM as
Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or
of Contract for Difference (CFD) with several underlyings such as gold, crude oil and stock index. This is a speculation for the difference between the current value of an the underlyings without
Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with