Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was
and/or digital tokens of which are liable to be approved by SEC. Therefore, investors are advised to be skeptical if being solicited to invest with DB Hold. SEC has notified DB Hold to cease any
supervision. In this regard, investors are advised to exercise discretion in case of encountering solicitation for investment with the company. In any case, investors can check the list of securities
Bangkok, October 6, 2014 ? The SEC revoked approval of 2 securities investment consultants for ten years; Thanjira Phonwattanakul (formerly named Natthareeya Kulpakawa), a consultant of Tisco Asset
must comply with derivatives investment rules and be managed with due care for the benefit of investors. Maximum limit of derivatives investment must be set and clearly stated in the prospectus together
Bangkok, April 16, 2014 ? The SEC is seeking public comment on easing rules on derivatives investment of accredited investor funds (AI funds), where all unitholders are institutional investors or
Facebook page ชื่อ Matter of investment : Unlicensed securities and derivatives business (Disclosure Date : 08/08/2023)
Facebook page ชื่อ Matter of investment : Unlicensed securities and derivatives business (Disclosure Date : 08/08/2023)
Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the
Bangkok, October 6, 2015 ? The SEC is seeking public comment on draft rules governing business operators of investment services to customers in foreign currency denominated products which are offered