protection are satisfied;3. Investment limits: To ensure greater level of investment diversification in accordance with international standards, establishment of non-diversified funds shall no longer be

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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

investment or have had enough money for long term. Therefore, SEC has gone ahead with the main strategic plan this year, promoting qualified wealth advisors easily accessible by people to use fintech as the

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