LM Investment Management Limited Website: www.LMaustralia.com : Unlicensed securities and derivatives business (Disclosure Date : 17/04/2013)
Facebook page “Investment BTG 02” impersonates “BETAGRO Plc.” : Unlicensed securities and derivatives business (Disclosure Date : 09/09/2024)
According to investors’ tips and SEC’s investigation, there are public solicitations for investment with Argyll Technologies via individuals and online media channels such as company website and
, units of ASEAN collective investment scheme (ASEAN CIS) will be added as permissible securities. The revision, to become effective by November 2014, aims at supporting competition among business
Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was
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
Bangkok, July 2, 2015 - The SEC suspended four investment consultants for misconduct concerning share price manipulation. Those suspended were {A} and {B}, securities investment consultants and ex
Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any
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