investment consultant and set the period for acceptance of her re-application for approval as capital market personnel for 5 years. In this case, the period for acceptance of her re-application for approval as

assets were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore revoked the approval of {A} as capital market investment

market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from

therefore suspended the approval of {A} as a securities investment consultant and banned her from performing duties as a branch manager in business related to capital market for four months, starting from 6

own opinion without reference to any research paper from a reliable source.Both investment consultants have failed to perform duties with responsibility and deliberation as a professional in violation

asset management companies to offer more diversified, complex types of mutual funds similar to those sold in foreign markets, and to introduce investors to more investment opportunities through various

milestone is the permission for transfer of PVD to RMF. This is to allow employees to maintain the total sum of their ongoing savings in a long-term investment vehicle as long as they wish should they find

3) Orapin Raiwiboon. In connection with the case, the application for approval as investment consultant submitted by {A} has been rejected.  According to a report from Thailand Securities Institute

Following the tips from various sources to SEC, it has been found that DB Hold had been soliciting people via social media to invest in newly issued shares alongside with products that may be

SEC Secretary-General Rapee Sucharitakul said that there had been several fraud cases regarding investment in digital assets which might result in a huge loss for investors. This led to the