instruments type 1** for {A} for a period of 12 months, and the approval as investment consultant for complex instruments type 1 and investment planner for {B} for a period of 12 months***, starting from 9
November 2023. In alignment with the SEC's strategic plan and leveraging the expertise of Certified Financial Planner (CFP®), the course aimed to give a model for a standard financial training
suspension imposed by the SEC shall remain one month, effective from January 8, 2015. Besides, {A} has been approved as an investment planner and held a position equivalent to a department director while the
Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the
planner, is suspended for eight months; (4) {E}, securities investment consultant and investment planner, is suspended for one year.Kasikorn Securities: (5) {F}, capital market investment consultant, is
planner** for three months and 22 days, effective from 22 April 2019.The SEC strongly advises investors against allowing investment consultants to make securities trading decisions on their behalf
advice without the use of human financial planner. While embracing financial innovation, the SEC still put highest emphasis to ensure sufficient level of investor protection in the Thai capital
consultant for complex products type 1 and investment planner, and (2) {B}, capital market investment consultant, for a period of two years six months each.In the case of {A}, the SEC's inspection revealed
” โดยมีนักวางแผนทางการเงิน (Certified Financial Planner: CFP) ผู้เชี่ยวชาญด้านการจัดการเงิน การลงทุน และการจัดการหนี้ ร่วมให้คำแนะนำแก่ประชาชนและผู้ลงทุนเกี่ยวกับการบริหารจัดการการเงินและการปรับตัวต่อ
investment planner, for three months starting from 7 April 2020. _______________________Notes: * Failure to perform duties with responsibility and deliberation as a professional under