Following the tips from various sources to SEC, it has been found that DB Hold had been soliciting people via social media to invest in newly issued shares alongside with products that may be liable to be digital tokens. With a claim to be around 500 million baht worth, these funds were said to be used for investing in several projects such as a digital platform for exchanging goods and services that may involve with electronic units named "DB coin" or "DB token", blockchain systems and ot...
publicized through telephone, leaflets, brochures, event booths at office buildings and Facebook advertisements.Such acts may be unlawful and constitute an offence of luring and offering unauthorized
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 account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12 clients who were his friends, while {A} took such orders without any written authorization from those...
แทนโครงการพัฒนาแห่งสหประชาชาติประจำประเทศไทยMrs. Dawn Chan CEO, Centre for Impact Investing and PracticesMs. Devahuti Choudhury SDG Impact Specialist for Asia-Pacific, UNDPดร. ชัชรี ธีรพงษ์ ที่ปรึกษา
customers suspect the company of fraud or unauthorized disposal of customer assets, resulting in financial damage. The SEC has been investigating the above issues while maintaining continued collaboration
offenses against the Securities Law such as fraud, unauthorized fundraising or unlicensed securities business undertaking, remain subject to criminal proceedings by means of criminal complaint filing with
Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any
relevant documents and then immediately order to sell the entire fund from the account. {D}, on the other hand, agreed to make whole to the client by compensating all loss incurred from that unauthorized
accelerating Thailand’s progress towards achieving the Sustainable Development Goals, with a specific focus on the most vulnerable.”Ms. Dawn Chan, CEO of CIIP, shared, “The Centre for Impact Investing and
client's bank account. However, the transferred money was in fact from an unauthorized sale of other shares in the client's account, not the ones initially identified; (2) Soliciting a client to subscribe