Thai investment × Home >   ผู้ลงทุน >   แหล่งข้อมูลและช่องทางติดต่อสำหรับผู้ลงทุน >   ข้อมูลเกี่ยวกับการ

Statistics of approved investment analysts / investment consultants Please wait... Statistics of approved investment analysts / investment consultants Type of License April 2021 May 2021 June 2021

Bangkok, September 23, 2013 ? The SEC is now seeking public comment on introducing an approval regime for technical analyst and the revisions of qualifications of investment analysts and investment

List of investment analysts / investment consultants classified by company Please wait... List of investment analysts / investment consultants classified by company Please enter search criteria. Date

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

Bangkok, October 15, 2012 - The SEC imposed administrative sanctions on six investment consultants by (1) suspending five investment analysts/consultants {A} of Asia Plus Plc., {B} of Kasikorn

Bangkok, October 10, 2013 - The SEC imposed a two-month suspension on {A}, a securities investment consultant of Capital Nomura Securities Plc. and a one-month suspension on {B}, a securities

Bangkok, February 11, 2013 - The SEC imposed a one year suspension on {A}, a capital market investment consultant of Finansia Securities Plc., effective from February 8, 2013; and also disclosed

and then inform the client afterward. {A} admitted that her client had authorized her to help adjust the client's investment portfolio to cut losses in the account. She also confirmed the trading with

explanation to the SEC accordingly.       In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities