permissible rate of 15 percent. The majority of PVDs invest as much as 85 percent of the total investment money in debt securities and bank deposits. Such low-risk, low-return pattern results in slow fund
accounts to mislead the clients into believing that such amounts were their investment money plus benefits.Afterward, they repeated the same method by persuading the clients to continue investing in order to
Following the tips from various sources to SEC, several investment solicitations have been found via online channels such as websites, Facebook and YouTube regarding the products that may be liable
Following the tips from various sources to SEC, there have been solicitations for investment in securities and/or product that may be liable to be digital asset (called by many names such as coin
Following the tips from various sources to SEC, there have been solicitations for investment in securities and/or product that may be liable to be digital asset (called by many names such as coin
orders of derivatives and shares in large volumes without the client’s authorization. When the client’s account suffered a large amount of loss, {A} tricked the client into depositing more cash into the
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
Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment
Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1
Bangkok, December 9, 2014 - The SEC suspended {A}, a capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for 6 months.After receiving a client's complaint against {A