The prevention and management of conflicts of interests in investment management businesses are one of SEC’s important strategies because the business structure in Thailand is financial
immunity check-up simulator or learn more about asset investment. Visitors can also get to know the newest full-service consulting service, which is accessible to people of all financial backgrounds
Following public referrals and the SEC’s further inspection, it was found that investment in the aforesaid digital tokens had been solicited online via several social media channels such as website
Following the complaints from investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units
Bangkok, 7 March 2019 ? The SEC is advising the public to be cautious about any solicitation related to investment in HashBX Global Co., Ltd.With reference to the news of persons reporting to the
shares of another company as a joint investment with the client and would share capital gains with the client; however, she did not use the client’s money to invest in such shares, nor did she buy the
, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are
his approval as investment consultant and branch manager or equivalent position for two months for failing to comply with the client’s instruction, effective from 5 April 2019, and disclose the
Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's
Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or