Bangkok, April 24, 2014 ? The SEC urged investors to make prudent investment decision concerning information on fund establishment and forward-looking on profits of listed firms.Chalee Chantanayingyong, SEC Deputy Secretary-General said that ?Previously, expected timing of the SEC approval for securities offering or fund establishment as well as projected profits of listed companies resulted from the fund establishment have been covered by the media. It is therefore important to clarify that app...
Bangkok, July 23, 2015 ? The SEC warned investors of scams involving money transfer into the securities firms? accounts by offering wealth management services with high rate of returns and other
securities products to the public without official permission from SEC. Investors are warned not to believe the advertised projects when approached to enter into investment contracts with Ronghui in the
LUMPHINI, PATHUM WAN, Bangkok 10330 Tel.0-2105-4136 Fax.0-2252-9340 3 ICAP SECURITIES CO.,LTD. LUMPHINI, PATHUM WAN, Bangkok - Tel.0-2253-0888 Fax.0-2256-0999 4 TRADITION FIXED INCOME SECURITIES CO.,LTD. 191
order within the specified period. Moreover, despite being warned by the Competent Officer, they provided only partial, incomplete information and showed a delaying behavior in not providing the requested
Company Name Website AFS AFS SECURITIES (THAILAND) CO.,LTD. ELITE ELITE SECURITIES CO.,LTD. ICAP ICAP SECURITIES CO.,LTD. TRADITION TRADITION FIXED INCOME SECURITIES CO.,LTD. WSTPS WALL STREET TULLET PREBON
payment for goods or services of listed companies.In addition, on 8 July 2021 the Bank of Thailand (BOT) has warned against the use of digital assets, which are not legal tender, as a means of payment for
company's management and monitoring on personnel systems did not comply with professional standards. In this regard, the SEC warned KPMG Phoomchai Business Advisory Ltd. to emphasize on compliance with