, and the use of technologies to increase service choices and efficiency in meeting investors? demands.The SEC is therefore proposing draft rules on providing assisting tools for efficient investment
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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
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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
Securities Plc., {C} of KT ZMICO Securities Co., Ltd., {D} and {E} of GT Wealth Management Co., Ltd., effective from October 12, 2012 and (2) publicly disclosed investment consultant {F}'s inappropriate
, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf
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
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
market investment consultant in case of Panadda for ten years and the approval as securities investment consultant in case of {B} for four years and eight months. The revocation will be effective from