securities investment consultants, had committed wrongful acts against clients at various branch offices as follows: (1) In the case of Miss Surasa Mungthaworn, it was found that she had
Following the tips from various sources to SEC, several investment solicitations have been found via online channels such as websites, Facebook and YouTube regarding the products that may be liable
SEC Secretary-General Rapee Sucharitakul said that there had been several fraud cases regarding investment in digital assets which might result in a huge loss for investors. This led to the
as the related parties, e.g. listed companies, the Association of Thai Securities Companies (ASCO), the Association of Investment Management Companies (AIMC), and the Stock Exchange of Thailand (SET
Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any
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
Bangkok, August 17, 2012 - The SEC imposed administrative sanction on seven investment consultants for their failure to record clients' securities or derivatives trading orders by suspending one
Bangkok, March 28, 2012 ? The Bank of Thailand (BOT) has approved the proposal to allow retail investors to invest in derivatives traded on foreign derivatives exchange without limiting investment
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional
Bangkok, 20 October 2016 - The SEC has suspended approval of 11 investment consultants of six securities companies for soliciting investors to purchase IPO and over-the-counter shares to seek