advice on derivatives investment without approval through many channels such as website, YouTube, email, phone, SMS and Line application. {A} and {B}, then investment consultants at KGI, cooperated with
Exchange of Thailand. The papers pointed out the significance of making prudent study on information and fundamental analysis of securities prior to making investment decision in order to mitigate trading
providers will have a duty to oversee proper securities trading. For example, information must be disclosed before and after trading for investment decision-making, trading must be regulated for smoothness
Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC
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
transactions must be transferred into the securities account of the responsible securites company only, and that accepting a deposit of shares from any investment consultant into investors? own trading accounts
Following public referrals and the SEC’s further inspection, it was found that investment in the aforesaid digital tokens had been solicited online via several social media channels such as website
Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the
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