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On 22 September 2022, the Capital Market Supervisory Board Meeting No. 10/2565 passed a resolution approving the proposed amendments to the regulations related to establishment and relocation of offices or branches of business operators in accordance with the Regulatory Guillotine to increase flexibility and streamline processes and operating burdens on the business sector. Essentially, the proposed amendments would: (1) apply the same auto approval principles for the establishment of...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9935

Statistics of approved investment analysts / investment consultants

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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List of investment analysts / investment consultants classified by company

List of investment analysts / investment consultants classified by company Please wait... List of investment analysts / investment consultants classified by company Please enter search criteria. Date

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SEC suspends two investment consultants

Bangkok, June 25, 2015 - The SEC suspended {A}, a former capital market investment consultant of Phillip Securities (Thailand) Public Co., Ltd., for making trading decision on client's behalf and

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5989

SEC sanctions three investment consultants

Bangkok, April 24, 2015 - The SEC imposed sanctions on three investment consultants namely {A}, a securities investment consultant and branch manager, {B}, a capital market investment consultant and

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5897

SEC sanctions four investment consultants

Bangkok, July 8, 2015 ? The SEC suspended three investment consultants for making trading decisions on the clients? behalf. Those investment consultants were Ashiya Ashiyakul, a former capital market

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6006

SEC sanctions four investment consultants

Bangkok, July 8, 2015 - The SEC suspended three investment consultants for making trading decisions on the clients' behalf. Those investment consultants were {A}, a former capital market investment

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6007

SEC suspends two investment consultants

Bangkok, March 13, 2015 - The SEC suspended two investment consultants of RHB OSK Securities (Thailand) Plc. {A}, a securities investment consultant, was suspended for trading securities on behalf of

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5827

SEC sanctions an investment consultant

Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5741