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
Plain Investment Consultant
In May 2024, the SEC conducted a public hearing on the proposed amendments to the regulations governing the management and storage of data related to digital asset business operations with the objectives of ensuring accurate and adequate information for effective and timely monitoring and supervision of operational risk of DA operators, and enhancing trust and confidence of stakeholders. Most respondents agreed with the principles and the proposed amendments to such regulations. The SEC has ther...
ONE ASSET MANAGEMENT LIMITED|Specific Fund | Offering Date : 17/07/2012 - 30/07/2012
Commission No. Sor Thor. 36/2561 Re: Management and Record Keeping of Data related to Undertaking of Digital Asset Businesses, dated 11 July 2018: https://publish.sec.or.th/nrs/8799s.pdf.
former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
กองทุน Global Wealth Fund (GWF) : Unapproved public offering of newly issued shares (Disclosure Date : 07/07/2020)
Facebook page ชื่อ Wealth Concept : Unlicensed securities and derivatives business (Disclosure Date : 31/07/2023)
ผู้ให้บริการ Portfolio Wealth Advisor วางแผนการลงทุน การเริ่มต้นลงทุน DCA/กลยุทธ์การลงทุนต่าง ๆ การจัดพอร์ตลงทุน (Portfolio Wealth Advice) เครื่องมือรู้จักตัวเอง และคำแนะนำจัดสรรวงเงิน เครื่องมือ