Bangkok, 7 March 2019 ? The SEC is advising the public to be cautious about any solicitation related to investment in HashBX Global Co., Ltd.With reference to the news of persons reporting to the
shares of another company as a joint investment with the client and would share capital gains with the client; however, she did not use the client’s money to invest in such shares, nor did she buy the
, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are
his approval as investment consultant and branch manager or equivalent position for two months for failing to comply with the client’s instruction, effective from 5 April 2019, and disclose the
Bangkok, 25 February 2019 ? The SEC is seeking public comments on the proposed rules for intermediaries to provide assisting tools to asset allocation and investment planning. This would allow
on investment advisor via crowdsourcing which are required to be granted SEC licenses. Investment advice must be made to general, not specific, investors and must be independent advice without
Bangkok, March 1, 2016 - The SEC has suspended {A}, a securities investment consultant at Bangkok Bank PCL., for failing to inform a client of material information, which consequently incurred
In March 2018, ACMF launched the ACMF Professional Mobility Framework to contribute towards investment consultation and analysis on cross-border products in ASEAN region which will facilitate
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for TMB Bank Public Company Limited (TMB). According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa had misappropriated the client’s money by forging the client’s signature, revising the client’s signi...
-19” ในงานสัมมนา aomMONEY Investment Conference 2020 ที่รวบรวมบุคคลสำคัญระดับผู้บริหารจากสถาบันการเงิน และองค์กรที่เกี่ยวกับการให้คำแนะนำด้านการเงินการลงทุน รวมถึงผู้เชี่ยวชาญในด้านต่าง ๆ รวม 30 คน