{A} had solicited a client to invest in derivatives products by guaranteeing returns; the client agreed to the deal and allowed him to make investment decisions on the client's behalf. Later, he was
shares by using the company?s undisclosed information concerning a deal on large disposal volume of SLC shares by its major shareholders and executives to a new investor and subsequent changes in the
investment. The SEC therefore urges those interesting in derivatives investments to deal only with licensed business operators to avoid scams and rip-offs. List of licensees is available at the SEC website
reliable financial reports are prepared by responsible parties will benefit investors a great deal,? Mr. Prakid added.
November 2nd, 2021, while he knew or possessed inside information concerning a share purchase deal that SCB Securities Company Limited intended to purchase 51% of the total shares of Bitkub Online Company
Management Public Company Limited: KTAM*;(2) Krungsri Asset management Co., Ltd.: KSAM*;(3) Kasikorn Asset Management Co., Ltd.: KASSET;(4) TMB Asset Management Co., Ltd.: TMBAM;(5) SCB Asset Management Co
Following a TMB report on clients’ complaints and SEC’s further investigation, it was found that during 27 July 2015 – 5 June 2017 Nuchanart (1) withdrew money from her clients’ bank accounts
operators to deal with Covid-19 situation. All of them confirm the readiness to provide services related to securities trading continuously and have business continuity plans in case of emergency. In
better understanding of climate risks so that they can combine their knowledge and relevant available information to enhance their capability to deal with climate change; (2) to make asset management