seeking approval of investment analysts to pass examination on derivatives in addition to holding Certified Financial Planner (CFP) certification. Thai Bond Market Association bond dealer members will be

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Following an inspection report from KBANK, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was found that some employees of the bank, who acted as

SEC Secretary-General Rapee Sucharitakul said that there had been several fraud cases regarding investment in digital assets which might result in a huge loss for investors. This led to the

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

Following an inspection report from Bank of Ayudhya, a limited broker dealer and underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Vanatsavadee, securities investment

TMB Bank Public Company Limited (TMB).According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa had

Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and

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At present, securities and derivatives business operators (Thai business operators)* are allowed to provide services for Thai investors’ investment in foreign capital market products through business