return rate and the investment term were written on the cover of the client's fund book. The SEC has therefore suspended approval for {B} as a securities investment consultant for a period of two years
original shares to return them to the client. (3) In December 2017, Nutnicha borrowed money from a client, claiming that she would place shares as collateral when in fact she did not have the shares in
Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading
Online Fund Approval and Management System (OFAM) ระบบอนุมัติจัดตั้งและจัดการกองทุน Online Fund Approval and Management System (OFAM) โปรดระบุข้อมูลด้านล่าง (Please fill in information below
Online Registration and Approval System (ORAP) ระบบให้ความเห็นชอบ Online Registration and Approval System ท่านยังไม่ได้ Register กรุณากรอกข้อมูลเพื่อลงทะเบียน กรุณากรอกข้อมูลเพื่อลงทะเบียน ประเภทบัตร
Online Registration and Approval System (ORAP) ระบบให้ความเห็นชอบ Online Registration and Approval System Username (E-mail or ID No.) : Password : ประกาศนโยบายความเป็นส่วนตัว
Online Registration and Approval System (ORAP) ระบบให้ความเห็นชอบ Online Registration and Approval System กรุณากรอกข้อมูลต่อไปนี้เพื่อเข้าสู่ระบบ (Please enter information below) ประเทศที่ออกบัตร
Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1
Bangkok, July 17, 2013 - The SEC revoked approval as well as disclosed inappropriate behavior of {A}, a capital market investment consultant of Kasikorn Securities Plc. Following the report from
Bangkok, April 11, 2013 - The SEC revoked the approval of investment consultant {A} of Finansia Syrus Securities Plc.Following client complaints, the SEC upon investigation found that {A} had agreed