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ทจ. 15/2553 เรื่อง การออกและเสนอขายใบสำคัญแสดงสิทธิอนุพันธ์ (ฉบับประมวล)

; การเสนอขายใบสำคัญแสดงสิทธิอนุพันธ์ที่ออกใหม่ต่อประชาชนเป็นการทั่วไปโดยใช้กลไกการซื้อขายผ่านระบบการซื้อขายในตลาดหลักทรัพย์ (direct listing) ไม่ว่าจะมีการเสนอขายใบสำคัญแสดงสิทธิอนุพันธ์นั้นให้ผู้ดูแล

http://law.sec.or.th/content/524/818/9#818

SEC discloses inappropriate behavior and suspends four investment consultants

} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5624

Investor Alert

Investor Alert สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 01 April 2025 10:22 Investor Alert Investor Alert ( 5917 record(s) found) Name Type of action Disclosure Date Link Facebook page "Amz-Dreamy Cafe Thai COffee Daily" impersonates "PTT Oil and Retail Business Plc." Unlicensed securities and derivatives business 27/03/2025 Detail Facebook page "Amz-Dreamy Cafe Thai COffee Daily" impersonates "PTT Oil and Retail Business Plc." Website : N/A Facebook : https://www.facebook.c...

https://market.sec.or.th/public/idisc/en/ViewMore/invalert-head?PublicFlag=Y

Criminal Complaint Filed with an Inquiry Official Dated 10/02/2016

Global Consultant Company Limited Global Consultant Company Limited (“Global”) colluded with the other alleged offender in operating securities businesses of brokerage. Furthermore, Global used

http://market.sec.or.th/public/idisc/en/Enforce

Criminal Complaint Filed with an Inquiry Official Dated 12/09/2018

Mr. Narathip Lohawaroj Mr. Narathip Lohaweroj, an investment consultant of a securities company had cooperated with Mr. Thiti Tharasuk, an authorized director of Chart Master Co., Ltd., convinced

http://market.sec.or.th/public/idisc/en/Enforce

Criminal Complaint Filed with an Inquiry Official Dated 12/09/2018

Mr. Torpong Thammasombut Mr. Torpong Thammasombat, an investment consultant of a securities company had cooperated with Mr. Thiti Tharasuk, an authorized director of Chart Master Co., Ltd

http://market.sec.or.th/public/idisc/en/Enforce

SEC sanctions five capital market personnel

positions while his capital market investment consultant status was also suspended, effective from September 6, 2014. Three capital market investment consultants, namely {B}, {C} and {D} as well as a

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5574

SEC sanctions two investment consultants

Bangkok, February 11, 2013 - The SEC imposed a one year suspension on {A}, a capital market investment consultant of Finansia Securities Plc., effective from February 8, 2013; and also disclosed

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4863

SEC suspends three investment consultants for not taping clients? orders and revealed inappropriate behavior for trading derivatives for a client.

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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4822

SEC sanctions three investment consultants for not taping clients' orders

Bangkok, May 14, 2012 - The SEC imposed two-month suspension on {A}, an investment consultant of Asia Plus Securities Plc., one-month suspension on {B}, an investment consultant of Maybank Kim Eng

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4528