wrongful acts against investors’ assets are liable to the highest sanction of revocation of approval for investment consultant for Complex Financial Products Type 2. However, the approval for Somchai as
all sectors of the capital market, namely the Association of Thai Securities Companies (ASCO), the Association of Investment Management Companies (AIMC), the Thai Bankers Association, the Association of
as an investment consultant for complex products type 1** for a period of two years, five months and seven days, effective from 17 March 2021. However, since her approval period ends on 31 March 2021
Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during the months of March and October 2017, Nattapong, then a securities investment consultant at the
SEC Secretary-General Ruenvadee Suwanmongkol said: “The ESG-focused business practice and investment help to promote sustainable investment. This is a growing trend in capital markets around the
According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a
the student development and excellence promotion 2024 project, aiming to equip students with knowledge and understanding of investment and enable them to make suitable investment decisions based on