Facebook page “Gold stock investment” impersonates “HUA SENG HENG Co., Ltd.” : Unlicensed securities and derivatives business (Disclosure Date : 19/07/2024)

Securities Public Company Limited, the SEC further probed into the case and found that for the period of more than one year, Tanya, a capital market investment consultant, submitted a number of securities and

Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of

and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in

capital market*, the SEC therefore suspended {A} from his duty as the approved securities investment consultant for one year and six months. Having considered that {A} had already been suspended by his

therefore suspended {A} from his duty as the approved securities investment consultant for one month, effective from February 23, 2015.---------------* Clause 20(2) of the Notification of Capital Market

materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of

Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the

.   ___________________________ Note: The misconduct of the investment consultants, one of whom was also branch manager,  is a violation of Clause 23(2), and a prohibited characteristic of capital market personnel under Clause 31

Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1