Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders
from an investor who is not a client of RHB and the SEC’s further investigation into the case, it was found that during June 2020 – May 2022, Phisit had solicited investors to open securities trading
incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working
client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent
information of Montri Fund scheme and fund prospectus, the SEC probed into the case and found that he inaccurately specified the age of a building purchased by Montri Fund which was, in fact, many years older
COMPANY LIMITED Disclosure Business News ( 4 record(s) found) Date Time Heading Link 24/02/2022 06:56 Report on the resolutions of the Board of Directors Meeting regarding the plan of offering of ordinary
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
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
The SEC has found numbers of cases of online fraudulent actions involving the unauthorized use of names, logos, executive or staff images of the SEC, the capital market business operators as well
breach of duty is found. The above unprofessional acts were in violation of Clause 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of