Bangkok, December 23, 2013 - The SEC suspended three financial advisor supervisors, namely {A}, then an employee of {X1} Co., Ltd., {B} of {X1} Co, Ltd., and {C} of {X2} Plc. The suspension resulted

Facebook page "Complete Coffee Business Amz." : Unlicensed securities and derivatives business (Disclosure Date : 17/11/2025)

Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and

Facebook page "Hua Seng Heng HSH - Investment Advisor" : Unlicensed securities and derivatives business (Disclosure Date : 06/11/2025)

Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or 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 for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...

Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC

Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a

transactions for shareholders? approval at the 2013 annual shareholders meeting on April 25, 2013.Independent financial advisor viewed that GLAND shareholders should not approve the above transactions on the

Facebook อ้างชื่อ Complete Coffee Business Amz. - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 17/11/2568)