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, 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
has failed to maintain the qualifications in accordance with the approval rules, or has failed to meet the conditons after aprroval, or has failed to diclose a complete, correct and sufficient material
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
accordance with the approval rules, or has failed to meet the conditions after approval, or has failed to disclose a complete, accurate and sufficient material information for investors decision making, the
as from the date of submission of complete and accurate application, other documents and evidence. In considering the application, the Office may summon the applicant to give statements or submit