Facebook Page ชื่อ Investment success. : Unlicensed securities and derivatives business (Disclosure Date : 18/06/2024)

Report on expiry dates of investment analysts / investment consultants classified by company Please wait... Report on expiry dates of investment analysts / investment consultants classified by

Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She

List of approved investment analysts / investment consultants

Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was

  Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She

Bangkok, June 2, 2015 - The SEC revoked an approval of  {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was

Bangkok, July 2, 2015 - The SEC suspended four investment consultants for misconduct concerning share price manipulation. Those suspended were {A} and {B}, securities investment consultants and ex

Bangkok, January 27, 2015 ? The SEC eases investment rules to allow mutual funds for retail investors (retail fund) and private funds to invest in the GMS instruments. Vorapol Socatiyanurak, SEC

Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional