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English (United States) Offering Of Investment Units × Home > Laws/Regulations > Regulations
English (United States) Offering Of Investment Units × Home > Laws/Regulations > Regulations
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