Facebook page อ้างชื่อ HSH Investment Expert - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 26/04/2567)
Facebook Page อ้างชื่อ Gold Stock Expert - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 29/08/2567)
Facebook Page ชื่อ HGF Investment expert - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 04/07/2567)
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of
have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during 22 September 2017 – 24 February 2018, {A}, then a securities investment consultant at the
had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform...
Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without