Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and concealed important information which may have caused misunderstanding or distorting of the facts. As a result, the SEC will not consider her renewal application for nine months.From a client complaint of Globex Securities Co., Ltd., the SEC found from the investigation that {A}, a former capital market...
Limited ("1000X") of transactions occurring with 5,000 wallet addresses on its website, https://www.1000x.live ("1000x.live"). This system was essential for the successful operation of
assets with fees. It also solicited and promoted its services to the public via the social media channels of Bitazza in Thai language on May 25, 2023. Certain privileges were granted to customers residing
digital assets with fees. It also solicited and promoted its services to the public via the social media channels of Bitazza in Thai language on May 25, 2023. Certain privileges were granted to customers
taken into account the important role of PF and DF marketing agents in soliciting investors to use investment management services of such funds. They cover key areas such as (1) the criteria for granting
, Thailand’s leading Cognitive Tech-Co, delivering superior digital experience through four core services including, • Mobile service: Under the "AIS" brand, providing prepaid, postpaid, and international
high-quality audit services to listed companies in compliance with professional standards. Following a public hearing on the proposed principles and draft regulations, most respondents agreed with the
bond issuers. This also includes ensuring sufficient disclosure of information for investors through the funding portals’ platforms, accommodating their decision-making regarding the use of services
Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. Therefore, the SEC sanctioned Benjawan from her duty as the personnel in the capital market and