Following the tips from various sources to SEC, it has been found that DB Hold had been soliciting people via social media to invest in newly issued shares alongside with products that may be liable to be digital tokens. With a claim to be around 500 million baht worth, these funds were said to be used for investing in several projects such as a digital platform for exchanging goods and services that may involve with electronic units named "DB coin" or "DB token", blockchain systems and ot...
publicized through telephone, leaflets, brochures, event booths at office buildings and Facebook advertisements.Such acts may be unlawful and constitute an offence of luring and offering unauthorized
Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12 clients who were his friends, while {A} took such orders without any written authorization from those...
The SEC has found numbers of cases of online fraudulent actions involving the unauthorized use of names, logos, executive or staff images of the SEC, the capital market business operators as well
value Baht 100) by decreasing the unpaid capital of Baht 6,000,000. After the decrease of capital , Far East will remain holding the same proportion of 86.485 percent of Fame Line ‘s shares (comprising of
customers suspect the company of fraud or unauthorized disposal of customer assets, resulting in financial damage. The SEC has been investigating the above issues while maintaining continued collaboration
clients' assets. In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the
offenses against the Securities Law such as fraud, unauthorized fundraising or unlicensed securities business undertaking, remain subject to criminal proceedings by means of criminal complaint filing with
Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any
, while the list of unauthorized individuals outside the SEC supervision is also available at Investor Alert on the SEC website: https://market.sec.or.th/public/idisc/th/InvestorAlert. To notify