? futures trading orders through an account linked to him at another broker for his personal gain. This caused financial damages to his clients. His actions were in violation of Sections 145(3) and (4) of
Facebook page "GF Trading Agent" : Unlicensed securities and derivatives business (Disclosure Date : 01/04/2026)
Microsoft Word - hearing _selling agent & LBDU_ 04122552.doc เอกสารรับฟงความคิดเห็น เร่ือง การแกไขหลักเกณฑการตั้งตวัแทน ขายหรือรับซื้อคืนหนวยลงทุน (selling agent) สํานักงานคณะกรรมการกํากับหลัก
Facebook page "GF Futures Trading Agent" : Unlicensed securities and derivatives business (Disclosure Date : 27/03/2026)
Facebook page "HGF Customer Service Agent" : Unlicensed securities and derivatives business (Disclosure Date : 02/03/2026)
Facebook page "HGF Customer Service Agent" : Unlicensed securities and derivatives business (Disclosure Date : 04/03/2026)
. ASEAN CIS to be offered must share similar substances with mutual funds allowed to establish in Thailand and be offered for sale through ASEAN CIS selling agent which is a licensed securities broker
Bangkok, April 18, 2012 - The SEC is seeking public comments on revision of ESOP regulation to cover life-insurance agent with a view to supporting life-insurance company?s human resource management
three offenders from performing duties as branch manager in the capital market business and suspended their approval as investment consultant and investment planner for four months each; {I}'s suspension