Bangkok , June 21, 2011 - The SEC has put Weerawat Sriwattana on probation for non- compliance with standards of conduct as a financial advisor supervisor for a company filing for the SEC?s approval
Bangkok, May 13, 2011 ? The SEC has put Akekajak Buahapakdee, a financial advisor supervisor of Capital Nomura Securities Plc., on probation for breaching his duties as financial advisor for initial
Facebook page Investor Club impersonates Investor Club. : Unlicensed securities and derivatives business (Disclosure Date : 05/08/2024)
Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
/> วันที่ตอบ : 06/10/2548 คำถาม : ตามที่สมาคมส่งเสริมผู้ลงทุนไทยได้เสนอให้มีการจัดตั้ง investor club ตาม
Line "Bull Club Investors" : Unlicensed securities and derivatives business (Disclosure Date : 19/08/2025)
Facebook page "Smart Asset Club" : Unlicensed digital asset business (Disclosure Date : 20/03/2026)
Facebook page "Hsh Financial Knowledge Club" : Unlicensed securities and derivatives business (Disclosure Date : 20/10/2025)
Facebook page "XAU Club International Trade" : Unlicensed securities and derivatives business (Disclosure Date : 12/11/2025)
Bangkok, July 4, 2016 - The SEC has suspended the approval of {X1} Securities (Thailand) Co., Ltd. as financial advisor and the approval of {A} as the company's supervisor of financial advisory