Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2014 | Close Selling Date : 00/00/0000
ADVISORY SECURITIES COMPANY LIMITED TISCO SECURITIES COMPANY LIMITED TBCO PUBLIC COMPANY LIMITED ที่ปรึกษา เอเชียไรซิ่ง จำกัด (บจ.) ASIA PLUS ADVISORY COMPANY LIMITED IFAC ADVISORY & INVESTMENT COMPANY
Bangkok, July 8, 2015 ? The SEC suspended three investment consultants for making trading decisions on the clients? behalf. Those investment consultants were Ashiya Ashiyakul, a former capital market
Bangkok, July 8, 2015 - The SEC suspended three investment consultants for making trading decisions on the clients' behalf. Those investment consultants were {A}, a former capital market investment
Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its clien...
Bangkok, June 23, 2011 - The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from performing duty as an executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated that his misconducts on clients? assets involved dishonesty, deceit or embezzlement and wrongful use of client?s assets. Following the complaint lodge...
Bangkok, October 1, 2012 - The SEC imposed administrative sanctions on seven investment consultants/analysts by revoking approval of {A}, suspending {B} of Bualuang Securities PLC, {C} of Kasikorn
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ปรึกษา เอเชียไรซิ่ง จำกัด (บจ.) ASIA PLUS ADVISORY COMPANY LIMITED IFAC ADVISORY & INVESTMENT COMPANY LIMITED INTHANON BUSINESS ADVISORY THANACHART CAPITAL PUBLIC COMPANY LIMITED TREASURIST INVESTMENT