According to investors’ tips and SEC’s investigation, there are public solicitations for investment in investment units via online media channels such as company website, Facebook and Line
Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the
The amended rules on approval of ICO portals give the applicants more flexibility and reduce risk on developing/investing in high-cost work systems while the approval process is underway. Pursuant to the amended rules, the approval process is now divided into two steps, namely: (1) examining the qualifications and appropriateness of the required work systems according to the application supporting documents within 90 days from the date of filing the application with SEC, and (2) inspecti...
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
& Investment in Thailand” ซึ่งนางวรัชญา ศรีมาจันทร์ รองเลขาธิการ ก.ล.ต. กล่าวเปิดงาน โดยมีวิทยากรผู้เชี่ยวชาญจากทั้งในประเทศและต่างประเทศร่วมแลกเปลี่ยนมุมมองและประสบการณ์ด้านการส่งเสริมให้ตราสารหนี้เพื่อความ
The SEC supports and promotes sustainable investment on a continued basis, emphasizing the importance of business operation and investment in the Thai capital market that takes into account every
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for TMB Bank Public Company Limited (TMB). According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa had misappropriated the client’s money by forging the client’s signature, revising the client’s signi...
-19” ในงานสัมมนา aomMONEY Investment Conference 2020 ที่รวบรวมบุคคลสำคัญระดับผู้บริหารจากสถาบันการเงิน และองค์กรที่เกี่ยวกับการให้คำแนะนำด้านการเงินการลงทุน รวมถึงผู้เชี่ยวชาญในด้านต่าง ๆ รวม 30 คน
Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and