Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
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 incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...
sufficient and complete information, as well as continuously providing knowledge and understanding on investment in bonds to the public.Moreover, SEC has established a mechanism for the investors to be able
board of directors to better understand its roles of driving business toward fruitful results and reasonably applying technologies to business operation in line with the National Strategic Framework or
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
to check if they are ready before making an investment decision as to whether they understand digital assets, understand the right to be received from digital assets, and understand and accept the
/starttogrow) for SMEs, Startups and interested public. The presentation and functionality of this microsite focus on the simplicity and nice-looking features and contains easy to understand contents. It is
ensure that such investors would have adequate access to relevant information to better understand financial products before making well informed investment decisions.?The consultation paper is available
follows: (1) Implement a policy on fintech application at board or executives level ; (2) Have persons understand the basic principles of technology usage;(3) Allow fund managers or