Bangkok, January 23, 2013 - The SEC imposed a two-month suspension on {A}, a securities investment consultant of SCB Securities Co., Ltd., effective from January 23, 2013.The SEC received a report from SCB Securities Co., Ltd. that {A} frequently failed to record her clients' securities trading orders. She then admitted that when orders had been executed completely from many of her clients, she confirmed the clients' trading orders via telephone, as she understood that these could have been ev...
Facebook Page ชื่อ Stocks Are Not Difficult : Unlicensed securities and derivatives business (Disclosure Date : 22/01/2024)
SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in order that the operation system will be more appropriate and flexible and in line with various types of business models. The operation system will also reduce burdens and obstacles in the business operations, with a view to grouping the relevant regulations of the operation system and the provisi...
Central Institute of Forensic Science is a new dimension that will increase the chances of success in law enforcement and the deterrence of offenses in the capital market.”Police Lieutenant Colonel
DAOL INVESTMENT MANAGEMENT COMPANY LIMITED|Cross Investing Fund | Offering Date : 14/04/2020 - 21/04/2020
DAOL INVESTMENT MANAGEMENT COMPANY LIMITED|Cross Investing Fund | Offering Date : 19/05/2021 - 25/05/2021
DAOL INVESTMENT MANAGEMENT COMPANY LIMITED|Cross Investing Fund | Offering Date : 20/01/2022 - 26/01/2022
BANGKOK CAPITAL ASSET MANAGEMENT COMPANY LIMITED|Cross Investing Fund | Offering Date : 06/05/2022 - 09/05/2022
Bangkok, March 22, 2013 - The SEC imposed a two-month suspension on {A}, a derivatives market investment consultant of Hua Seng Heng Gold Futures Co., Ltd.The SEC received a report from Hua Seng Heng Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the trading room. He failed to keep all clients' trading orders and some trading orders were made af...