Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
) Philippines, and starts with providing analysis and advice on securities not having complex characteristics, such as stock, bonds, mutual fund, collective investment schemes (CIS) and real estate investment
and relevant to the client's investment decision. From the Stock Exchange of Thailand's securities trading inspection report on Electronics Industry Public Company Limited (EIC), the SEC further probed
that may fall under the category of investment company, and to ensure that their operation does not demonstrate the objective of seeking investment returns for investors in a similar manner to operating
Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients
cooperation with the Association of Investment Management Companies (AIMC) and the Stock Exchange of Thailand (SET) holds PVD seminars and events periodically to educate fund committees to be able to fully
Collaboration for Combating Investment Scams Project, initiated by the Stock Exchange of Thailand (SET). The project aims to facilitate multilateral cooperation to fight against fraudulent activities through
Facebook Page ชื่อ National Funds and Stocks : Unlicensed securities and derivatives business (Disclosure Date : 22/01/2024)
Facebook page ชื่อ Short trades and funds : Unlicensed securities and derivatives business (Disclosure Date : 15/11/2023)
Facebook Page ชื่อ Funds and stocks : Unlicensed securities and derivatives business (Disclosure Date : 12/12/2023)