Facebook page "Complete Coffee Business Amz." : Unlicensed securities and derivatives business (Disclosure Date : 17/11/2025)
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
building for ACMF Members and stakeholders.At this Meeting, ACMF provided high-level feedback on how to support implementation of the ISSB S1 and S2 standards in the region, to ISSB’s Agenda Priorities
region presented an overview of the industry and the process of submitting the sale offer in each country, at the Industry Day Seminar organized by the Monetary Authority of Singapore. At this event, a
SEC Secretary-General Ruenvadee Suwanmongkol, along with SEC Deputy Secretary-General Sirivipa Supantanet, and management team met with H.E. Mr. Sou Socheat, Director General of the Securities and Exchange Commission of Cambodia (SECC), and executives in Phnom Penh, Cambodia, on August 5, 2019.On this occasion, both regulators exchanged views on cooperation and assistance that the SECC and SEC Thailand will provide to each other with regard to cross-border equity offering and depositary re...
the arrangements with real funds.?Industry outreachThe JC discussed strategies to continue to closely engage with industry throughout the region to ensure that the Passport would meet industry needs.The
financial reporting throughout the ASEAN region.? Since its formation in 2011, AARG?s efforts to enhance audit quality in the region include engaging audit firms on joint initiatives to address common
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