and private sectors, Thailand Responsible Business Network (TRBN) and allies therefore launched the “Send Plastic Home” project to promote the “sort at home, drop with us” campaign. They also provided
explanation to the SEC accordingly. In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities
Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the
of Contract for Difference (CFD) with several underlyings such as gold, crude oil and stock index. This is a speculation for the difference between the current value of an the underlyings without
Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension
service as a direct channel for reporting investment scams and frauds. The public can call the SEC Hotline 1207, extension 22, or send whistleblowing tips or scam reports through the SEC website at
According to investors’ tips and SEC’s investigation, there are public solicitations for investment with Argyll Technologies via individuals and online media channels such as company website and
Bangkok, 20 October 2016 - The SEC has suspended approval of 11 investment consultants of six securities companies for soliciting investors to purchase IPO and over-the-counter shares to seek
(TSI), the Stock Exchange of Thailand, there was an incident of intentional dishonest act committed on December 11, 2014 when Atcmima took an exam for qualifying investment consultant under the name of
Bangkok, January 24, 2014 ? The SEC imposed a one-month suspension on Wiroj Thongburana, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform