Bangkok, May 15, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of RHB OSK Securities (Thailand) Plc. and disclosed inappropriate behavior of {B}, a

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, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the

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

Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment

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

TikTok account "swkm_investment" impersonates "Sawakami Asset Management (Thailand) Co., Ltd." : Unlicensed securities and derivatives business (Disclosure Date : 13/01/2025)

TikTok account "sw_investment" impersonates "Sawakami Asset Management (Thailand) Co., Ltd." : Unlicensed securities and derivatives business (Disclosure Date : 15/01/2025)

TikTok account "investment_promotion9" impersonates "Sawakami Asset Management (Thailand) Co., Ltd." : Unlicensed securities and derivatives business (Disclosure Date : 22/11/2024)

TikTok account "investment_tips01" impersonates "Sawakami Asset Management (Thailand) Co., Ltd." : Unlicensed securities and derivatives business (Disclosure Date : 04/12/2024)