Financial Advisor โปรดรอสักครู่... กลับไปค้นหาใหม่ รายชื่อ FA รายชื่อผู้ควบคุมการปฏิบัติงาน รายชื่อบริษัทที่ปรึกษาทางการเงินที่ได้รับความเห็นชอบจากสำนักงานคณะกรรมการ ก.ล.ต. List of Financial Advisor

private funds, or investment advisors, which are fully qualified and ready to provide services, may apply for SEC’s approval to become the wealth advisor. There are currently over 40 operators interested

Bangkok , June 21, 2011 - The SEC has put Weerawat Sriwattana on probation for non- compliance with standards of conduct as a financial advisor supervisor for a company filing for the SEC?s approval

Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading

Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on

consultant, had misappropriated clients’ money by withdrawing money from the clients’ banking accounts  without executing the transactions that the clients had made. Besides, she made false evidence by forging

provide services with loyalty* by committing wrongful acts against investors’ assets, which was an offense liable to revocation of approval as investment consultant. However, the approval as securities

act caused by an external factor, {A}’s submission of false documents to the bank in order to help the client was deemed a failure to perform duties or provide services with loyalty pursuant to the

confession that she had misappropriated the client’s money and used it for her own benefit at the approximate amount of 2.5 million baht.  SEC has considered that Sunisa failed to perform duties or provide

ผู้ให้บริการ Portfolio Wealth Advisor วางแผนการลงทุน การเริ่มต้นลงทุน DCA/กลยุทธ์การลงทุนต่าง ๆ การจัดพอร์ตลงทุน (Portfolio Wealth Advice) เครื่องมือรู้จักตัวเอง และคำแนะนำจัดสรรวงเงิน เครื่องมือ