Facebook page "Complete Coffee Business Amz." : Unlicensed securities and derivatives business (Disclosure Date : 17/11/2025)
Bangkok, October 17, 2013 ? The SEC advised shareholders of Wyncoast Industrial Park Plc. (WIN) to exercise their voting rights at the company?s Extraordinary General Meeting (EGM) on October 22, 2013 regarding the proposed asset disposal opposed by independent financial advisor. Under the proposal, most of WIN?s assets will be sold to a property fund.WIN earlier announced that it will propose to the EGM No. 1/2013 on October 22, 2013 for approval of selling 99.99 percent of its assets to Wyncoa...
Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...
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
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Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
") Volunteers Foundation Network of Communities for Disaster Alerts and Warnings Project. The aim is to actively assist communities in sustainable water management and enhance the efficiency of disaster
investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives
. Furthermore, the SEC has implemented preventive measures against investment scams from the start, such as issuing alerts and educating the public about investment scam tricks and collaborating with relevant