Bangkok, 11 September 2017 - The SEC has suspended the approval of five securities investment consultants for failing to perform duties in compliance with professional standards. The suspended persons are: (1) {A}, (2) {B}, (3) {C}, (4) {D}, and (5) {E}. The SEC has also banned the persons in (2) - (4) from performing duties as a branch manager in a business related to capital market. All of the investment consultants above work for the KASIKORNBANK Public Company Limited (KBANK).In the cases of...
Facebook Page ชื่อ Fund shares : Unlicensed securities and derivatives business (Disclosure Date : 06/12/2023)
: 9/12/2562 คำถาม : บริษัทหลักทรัพย์จะพาลูกค้าไปลงทุนใน fractional shares ซึ่งเป็นหุ้นในต่างประเทศที่ถูกแบ่งเป็นหน่วยย่อย เช่น 0.1
The Office of Securities and Exchange Commission (SEC) has been notified by the Stock Exchange of Thailand about the artificial appearance of ACD shares during the end of year 2014 causing by the
hearing ends on 2 February 2023.-----------------------------------------Remark: * A weighted average price means a weighted average price of shares on the Stock Exchange of Thailand during at least the
Bangkok, July 21, 2009 ? The SEC urges investors to exercise prudence in their trading of ACL Bank Plc. ("ACL") shares due to unclear information about the Ministry of Finance?s decision to sell its
Following the investor’s complaint and SEC’s further investigation, it was found that Somchai had committed wrongful acts against the investor’s assets. In so doing, he withdrew money from the client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while...