Facebook page "AIR Professional' ORTIZ S.A.C" : Unlicensed securities and derivatives business (Disclosure Date : 19/11/2025)
Professional Portfolio International Ltd. Website: www.ppi-advisory.com : Unlicensed securities and derivatives business (Disclosure Date : 21/07/2014)
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
Type of securities : Common share | Effective Date : 07/07/2004 | Close Selling Date : 15/07/2004
Facebook page "Invest like a professional" impersonates "HUA SENG HENG Co., Ltd." : Unlicensed securities and derivatives business (Disclosure Date : 27/05/2025)
the development and enhancement of fundraising regulations, emphasizing the mutual assistance in screening companies offering securities for sale to the public and applying for listing on the stock
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
relevant documents and then immediately order to sell the entire fund from the account. {D}, on the other hand, agreed to make whole to the client by compensating all loss incurred from that unauthorized