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
Facebook อ้างชื่อ Complete Coffee Business Amz. - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 17/11/2568)
Bangkok, March 7, 2014 ? The SEC exchanged Letters for Cooperation with Financial Services Agency (FSA), Japan, to expand business opportunity between two capital markets. In this regard, the SEC led Thai private sector to meet Japanese public and private sectors with a view to sharing experience and information, and visiting Japan Post Co., Ltd. for information on the Post?s operation of investment unit selling.The SEC led Thai private sector on a business trip to Japan in February to meet Ja...
BBL ASSET MANAGEMENT COMPANY LIMITED|Cross Investing Fund | Offering Date : 20/03/2020 - 30/03/2020
KRUNGSRI ASSET MANAGEMENT COMPANY LIMITED|Cross Investing Fund | Offering Date : 19/11/2019 - 25/11/2019
LAND AND HOUSES FUND MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 23/05/2014 - 27/05/2014
LAND AND HOUSES FUND MANAGEMENT COMPANY LIMITED|Specific Fund | Offering Date : 16/07/2015 - 21/07/2015