Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
dishonesty, deceit or embezzlement and wrongful use of client?s assets. Following the complaint lodged by clients of Siam City Securities Co., Ltd., and the company?s report on investigation spurred from
Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2014 | Close Selling Date : 00/00/0000
intention to illegitimately seek benefits from client?s assets. Following the complaint filed by the clients of Siam City Securities Co., Ltd., and the company?s auditing report where numerous clients had
Facebook page "Thai Gold Trading Guide" : Unlicensed securities and derivatives business (Disclosure Date : 03/04/2026)
SEC Secretary-General, Nataya Niyamanusorn said, “SEC has seen the wealth advisors having important role for the investors because they could make the investors realize financial planning as a living skill after the Thai society has stepped into the ageing society. However, ageing people may not have enough money after retirement and investors have not yet achieved their targeted returns on investment or have had enough money for long term. Therefore, SEC has gone ahead with the main strat...
Facebook page Guide to investing in gold for beginners impersonates HUA SENG HENG Co., Ltd. : Unlicensed securities and derivatives business (Disclosure Date : 19/08/2024)
, increasingly emphasize the importance of audit quality factor in the selection of auditors. Qualitative information in the firm inspection report is thus very useful for the selection process. In addition, the
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