According to investors’ tips and SEC’s investigation, there are public solicitations for investment in investment units via online media channels such as company website, Facebook and Line
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
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
continue to monitor and update news and information of the invested shares through the Electronic Information System of the Stock Exchange, the issuer's annual report or newspapers. Shareholders should also
Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients
of investment in Day Poets Co., Ltd (A day). On 27 March 2017, POLAR disclosed information through the Stock Exchange of Thailand (SET) concerning four issues as follows: (1) refusal to hold an EGM as
cooperation with the Association of Investment Management Companies (AIMC) and the Stock Exchange of Thailand (SET) holds PVD seminars and events periodically to educate fund committees to be able to fully
Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or
Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with