TikTok account "usd_trading" impersonates "HUA SENG HENG Co., Ltd." : Unlicensed securities and derivatives business (Disclosure Date : 15/11/2024)
Mr. Tawee Uengaksorn Mr. Tawee Uengaksorn conspired with other alleged persons to operate derivatives broker businesses in Thailand under the name of Oversea bullion international trading Company
progresses in the areas of market supervision and development, such as quality enhancement of IPO issuers and listed companies, legal enforcement in various cases, and improved transparency and fairness in
trading center are shares of limited companies under the Civil and Commercial Code which are not offered for sale through a crowdfunding portal approved by the SEC Office in accordance with the Notification
securities trading center, which shall comply with at least the rules, conditions and procedures for share offering of limited companies under the Civil and Commercial Code in a general case or to the general
A-1 CODE OF CONDUCT FUNDAMENTALS FOR CREDIT RATING AGENCIES THE BOARD OF THE INTERNATIONAL ORGANIZATION OF SECURITIES COMMISSIONS REVISED MARCH 2015 A-2 CODE OF CONDUCT FUNDAMENTALS FOR CREDIT RATING
. Regarding the share transfer case, Auracha, then an invesment consultant at AEC, was found transfering shares in the client's trading account into her mother's account for her own benefits. Such share
inspection also indicated deficiencies of AEC?s core work systems in three areas as summarized below: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their
Mr.Suthee Siripornpitak During the period of 18 August 2021 (afternoon trading session) to 31 August 2021, Mr.Suthee Siripornpitak colluded with Mr. Peeranut Siripornpitak, to manipulate the stock
the share price manipulation of Chai Watana Tannery Group PLC (CWT) by handling the trading orders of CWT shares for a group of persons. She also traded CWT shares for herself through Mr. Payut