assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth
ONE ASSET MANAGEMENT LIMITED|Sector Fund | Offering Date : 16/02/2017 - 24/02/2017
before making decisions to invest in initial public offerings (IPO). SEC Deputy Secretary-General Prakid Punyashthiti said: ?Investors should study the information of any financial instument of their
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to
misconduct above – taking the investor’s assignment to make decisions on trading of securities and derivatives and fabricating that certain derivatives trading orders were sent by the investor – was deemed
– 12, 2025, under the theme “Financial Well-Being Journey: Informed Decisions, Empowered Choices in the New Era of Finance.” This year, the IOSCO emphasizes the threat of Relationship Investment Scams
BBL ASSET MANAGEMENT COMPANY LIMITED|Brown Field Infrastructure Fund | Offering Date : 22/07/2019 - 05/08/2019
Facebook Page อ้างชื่อ Power of Energy : Unlicensed securities and derivatives business (Disclosure Date : 23/08/2024)
in renewable energy business in Malaysia 04/10/2021 07:47 Share acquisition in Visa Max Solar Sp.z. 06/09/2021 07:55 Investment by S.IF. Company Limited in B.Grimm Power (Angthong) 2 Limited and