TikTok account ?hsh_trading? impersonates ?HUA SENG HENG Co., Ltd.? : Unlicensed securities and derivatives business (Disclosure Date : 15/11/2024)
TikTok account ?usd_trading? impersonates ?HUA SENG HENG Co., Ltd.? : Unlicensed securities and derivatives business (Disclosure Date : 15/11/2024)
TikTok account "arr_gold_trading" impersonates "Aurora Design Plc." : Unlicensed securities and derivatives business (Disclosure Date : 18/11/2024)
TikTok account "trading_online_th" impersonates "Pluk Phak Praw Rak Mae Plc." : Unlicensed securities and derivatives business (Disclosure Date : 26/12/2024)
without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions
Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts
} did not record a number of client's securities trading orders. Certain records found in the course of inspection indicated that he prepared the securities trading report for the client by using trading
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