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Investor Alert : Line "WEALTH CODE 36"

Line "WEALTH CODE 36" : Unlicensed securities and derivatives business (Disclosure Date : 21/10/2025)

http://market.sec.or.th/public/idisc/en/Viewmore/invalert-det?CaseID=3356&CaseYY=2568

Securities Investment Advisors

Companies Securities Issuing Companies Takeover Professionals Intermediaries Analysts / Investment Consultants ISIN Code ESG Product Platform Investor Alert Digital Assets Investor Alert Digital Assets

https://capital.sec.or.th/webapp/nrs/nrs_search_en.php?ref_id=194&lang=en

Bond Dealer & Underwriter

https://capital.sec.or.th/webapp/nrs/nrs_search_en.php?ref_id=379&lang=en

Limited BDU

https://capital.sec.or.th/webapp/nrs/nrs_search_en.php?ref_id=393&lang=en

Registered Derivatives Broker

https://capital.sec.or.th/webapp/en/infocenter/intermed/allow/comppf_new.php?ino=11&ref_id=146

Licensed Derivatives Broker

https://capital.sec.or.th/webapp/en/infocenter/intermed/allow/comppf_new.php?ino=12&ref_id=352

Licensed Derivatives Dealer

https://capital.sec.or.th/webapp/en/infocenter/intermed/allow/comppf_new.php?ino=22&ref_id=387

SEC Act

https://capital.sec.or.th/webapp/nrs/nrs_search_en.php?chk_frm=1&ref_id=302&cat_id=112&topic_desc=Ex...

SEC Act

https://capital.sec.or.th/webapp/nrs/nrs_search_en.php?chk_frm=1&ref_id=302&cat_id=114&topic_desc=Ex...

SEC Act

https://capital.sec.or.th/webapp/nrs/nrs_search_en.php?chk_frm=1&ref_id=302&cat_id=117&topic_desc=Ex...