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platforms. This collaborative effort aims to prevent further harm to the public. Since the launch of the Investment Scam Hotline Initiative on 6 November 2023, the SEC has been notified of fraudulent

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

blocked from these platforms immediately to protect the public from further harm and loss.  The Investment Scam Hotline initiative is part of the SEC’s continuing efforts as a participant in the

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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

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

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

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