SEC has imposed a 40-day-suspension on {A} as a securities investment consultant, and a two-month suspension on {B} as a securities investment consultant and investment planner. In addition, {B} was
ก.ล.ต. โดยระบบ Prof. Link จะเป็นศูนย์กลางข้อมูลการอบรมของผู้ถือใบอนุญาต ซึ่งได้แก่ ผู้แนะนำการลงทุน (Investment Consultant: IC) ผู้วางแผนการลงทุน (Investment Planner: IP) และนักวิเคราะห์การลงทุน
three offenders from performing duties as branch manager in the capital market business and suspended their approval as investment consultant and investment planner for four months each; {I}'s suspension
suspended her approval as investment consultant for Complex Instruments Type 2*** and investment planner for one month and 10 days. However, the bank had already penalized Prapai by prohibiting her from
charge of capital market business and suspended her approval as investment consultant for Complex Instruments Type 2*** and investment planner for one month and 10 days. However, the bank had already
The Securities and Exchange Commission (SEC) organized a dynamic training program to enhance essential knowledge and investment insights for financial trainers. SEC Secretary-General Pornanong
investment advice service. Tipsuda Thavaramara, SEC Deputy Secretary-General said that capital market regulators around the world are now embracing technological advancement to enhance efficiency and
approximately 25.1 billion baht and 29 billion baht. According to the investigation, the planner for EARTH at the time of the SEC order (EY Corporate Advisory Services Limited (EY)) had prepared and submitted