Facebook page "Trend Market Perspective" : Unlicensed securities and derivatives business (Disclosure Date : 19/03/2026)
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
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged
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, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine
Bangkok, May 18, 2011 ? SEC Secretary-General Thirachai Phuvanatnaranubala said after the Capital Market Supervisory Board's Meeting that the Board resolved to amend the underwriting rules and
Bangkok, May 18, 2011 ? SEC Secretary-General Thirachai Phuvanatnaranubala said after the Capital Market Supervisory Board?s Meeting that the Board resolved to amend the underwriting rules and
. Proceeds in the trading account belonged to {A}.Exploiting client's account for trading derivatives for one own benefit is deemed in violation of Clause 20(1) of the Notification of the Capital Market
orders at prices several notches above the market price, in order to entice other investors to follow suit and force trading of KDH shares within a set price range ("Pump and Dump"). The aim was to