had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform...
Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
Standard Buillion|VGI Consultant (Thailand) Co., Ltd. |SB Gold (Thailand) Co., Ltd. Website: www.standardbullion.com.hk, www.trader9999.com : Unlicensed securities and derivatives business
Standard Buillion|VGI Consultant (Thailand) Co., Ltd. |SB Gold (Thailand) Co., Ltd. Website: www.standardbullion.com.hk, www.trader9999.com : Unlicensed securities and derivatives business
แบบคำขอรับความเห็นชอบให้บริการ Wealth Advisor
Special Extension for Approved Status of Auditor, Financial Advisor and Compliance
แบบคำขอรับความเห็นชอบเปลี่ยนแปลงระบบงาน Wealth Advisor
Registration of Derivatives Business Operator In the Category of Derivatives Advisor