Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of
Line "ผู้แนะนำการลงทุน (เลขที่ทะเบียน IC 048919)" impersonate "Investment Consultant with approval Identification number 048919" : Unlicensed securities and derivatives business (Disclosure Date : 06
Standard Buillion|VGI Consultant (Thailand) Co., Ltd. |SB Gold (Thailand) Co., Ltd. Website: www.standardbullion.com.hk, www.trader9999.com : Unlicensed securities and derivatives business
This public hearing proposes to revise the qualifications for private funds under the definition of “Institutional Investor.” The proposal would allow private funds to be recognized as
of the opinion that the OTO’s proposed offering for sale of capital increase shares through private placement was appropriate. With regard to the company’s investment in HPS, although such investee
types of securities business license, namely (1) Type E Securities Business License* for equity instruments, and (2) Private Fund Management License. The proposed amendment aims to increase choices of
Some business operators wish to provide services of specific securities business, for example, brokerage, dealing and underwriting of equity instruments or private fund management, but are unable to
industries. The SEC is therefore proposing to amend the regulations on debt securities offering to support the issuance and offering of sustainability-themed bonds through crowdfunding and private