Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication records between {A}, then a former securities investment consultant of Country Group Securities Plc., and her client that she had been authorized by the client to take care of the account as well as make securities trading decisions on behalf of the client. She then continuously made trading decision...
A key strategy of SEC is to urge Thai people to realize the importance of financial planning which should be practical to achieve the long-term financial well-being. For this purpose, Thai people require financial advice and planning service from advisors who are knowledgeable, provide quality services and are considerate of interest of the customers. Hence, the “Wealth Advice for All” project was initiated. This project encourages both existing and new business operators to provide more...
deficient operations, as ordered. The SEC Board, therefore, by virtue of Section 35, Paragraph 2, of the Digital Asset Business Law, passed a resolution ordering a suspension of Zipmex business operations as
เพื่อยกระดับการกำกับดูแลให้ยืดหยุ่น ชัดเจนขึ้น สอดคล้องกับแนวทางสากล เสริมสร้างความโปร่งใส สนับสนุนเสถียรภาพความยั่งยืนของอุตสาหกรรมกองทุนรวมในระยะยาว
regulator, and is not currently under suspension or revocation of its licence; - The Hong Kong Covered Fund under HK-TH MRF is offered for sale to the public in Hong Kong and is not currently under trading
{E} for nine months. In case of {D} already been suspended by RHB OSK Securities (Thailand) Plc., for a month, the suspension imposed by the SEC shall remain eight months. For {A}, the SEC barred him
recent suspension of all Baht and cryptocurrency withdrawals. The e-form aims to further facilitate the affected investors’ submission of information and the SEC’s collection of clear and accurate facts
subject to a month suspension by Globlex Securities Company Limited, however, the suspension period shall remain one month; 2. Imposed two-month suspension on {B}, a securities investment consultant; and3
Bangkok, May 14, 2012 - The SEC imposed two-month suspension on {A}, an investment consultant of Asia Plus Securities Plc., one-month suspension on {B}, an investment consultant of Maybank Kim Eng
Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension