Complex Type 3 Investment Consultant
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...
Bangkok, May 30, 2011- Following Thoresen Thai Agency Plc., (TTA)disclosed through the Stock Exchange of Thailand (SET) that on May 27, 2011, 75 shareholders claiming to hold 72,212,550 shares or 10.199% filed a letter requesting the company to hold extraordinary shareholders? meeting to consider the matters of (1) rights offering of newly issued shares and share warrants and (2) change of the company accounting period. TTA will examine whether the shareholders? request and shareholding of eac...
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
Facebook page Keep up with daily stocks impersonates HUA SENG HENG Co., Ltd. : Unlicensed securities and derivatives business (Disclosure Date : 12/09/2024)
The SEC regulations for SLB issuance and offerings, effective since 16 May 2021, aim to support diversification of financial product types that address sustainability issues and align with the SEC’s policy to promote integration of sustainability factors into business operations. As SLB practices abroad continue to evolve, the SEC is proposing to amend the SLB regulations to enhance flexibility, accommodate financial innovations, and ensure alignment with SLB advancements aboard and internationa...