3) Orapin Raiwiboon. In connection with the case, the application for approval as investment consultant submitted by {A} has been rejected. According to a report from Thailand Securities Institute
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
SEC Secretary-General Rapee Sucharitakul said that there had been several fraud cases regarding investment in digital assets which might result in a huge loss for investors. This led to the
, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her
Bangkok, August 13, 2014 ? The SEC allows mutual fund for accredited investors (AIs) to invest in derivatives without investment limit, adding more investment choices for AIs. Vorapol Socatiyanurak
high net worth individual only. To widen investors? investment choices of increasing return or creating variety and complexity of investment strategy, the AI funds will be allowed to invest in
Bangkok, January 24, 2014 ? The SEC imposed a one-month suspension on Wiroj Thongburana, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform
Bangkok, January 24, 2014 - The SEC imposed a one-month suspension on {A}, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform sufficient information
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market