information in materiality for client's investment decision making. Following a report on the client's complaint filed by the Ministry of Finance, the SEC further probed into the case and found that {A} gave
and adequate information in materiality for client?s investment decision making. Following a report on the client?s complaint filed by the Ministry of Finance, the SEC further probed into the case and
Bangkok, December 24, 2013 - The SEC will not consider an application for approval as capital market personnel in case of {A}, a former securities investment consultant of Thanachart Securities Plc
Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
SECURITIES PUBLIC COMPANY LIMITED KSIT FINANCE AND SECURITIES PUBLIC COMPANY LIMITED G F FINANCE AND SECURITIES PUBLIC COMPANY LIMITED CHAO PHAYA FINANCE AND SECURITIES COMPANY LIMITED SITCA INVESTMENT AND
Retik Finance : Unlicensed digital asset business (Disclosure Date : 18/12/2023)
Oxchange Finance : Unlicensed digital asset business (Disclosure Date : 23/09/2024)
behavioral finance in issuing the regulations. For instance, the regulations governing investment consultants and investment planners making direct contact to the customers have been strengthened by requiring
Bangkok, 8 January 2019 ? The SEC announced that the Ministry of Finance, under the recommendation of the SEC Board, has granted digital asset business licences to four applicants and rejected two