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
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
suspended the approval for {A} as an investment consultant for complex instruments type 1** for nine months and 22 days, effective from 22 April 2020. Investors are strongly advised to be cautious and
apply for an applicable license with SEC. In this regard, SEC adopts the regulations on business conducting for “Digital Asset Investment Advisor” and “Digital Asset Fund Manager” purporting to ensure
apply for an applicable license with SEC. In this regard, SEC adopts the regulations on business conducting for “Digital Asset Investment Advisor” and “Digital Asset Fund Manager” purporting to ensure
ผู้ให้บริการ Portfolio Wealth Advisor วางแผนการลงทุน การเริ่มต้นลงทุน DCA/กลยุทธ์การลงทุนต่าง ๆ การจัดพอร์ตลงทุน (Portfolio Wealth Advice) เครื่องมือรู้จักตัวเอง และคำแนะนำจัดสรรวงเงิน เครื่องมือ
16 16 16 Capital Market Investment Consultant 0 0 0 0 0 0 0 0 0 0 0 0 Securities Investment Consultant 3 3 3 3 3 3 3 3 3 3 3 3 Fund Investment Consultant 204 204 204 204 204 204 204 204 204 177 177 177