Facebook page “Investment Authority of HSH” impersonates “HUA SENG HENG Co., Ltd.” : Unlicensed securities and derivatives business (Disclosure Date : 02/08/2024)
Facebook page "Investment Authority of Aurora" impersonates “Aurora Design Plc.” : Unlicensed securities and derivatives business (Disclosure Date : 26/08/2024)
Facebook page “Investment Authority” impersonates “HUA SENG HENG Co., Ltd.” : Unlicensed securities and derivatives business (Disclosure Date : 28/08/2024)
recommending the case to the public attorney who has authority for prosecution. The power to adjudicate whether any person is guilty or not is, however, vested on the court of justice. In this regard, the SEC
wrongdoers while allowing victims to monitor the progress of issue solutions at every step.” Mrs. Chavinda Hanratanakool, Member of the Board of Directors, the Federation of Thai Capital Market Organizations
/files/medias/documents/icw- bnm-final.pdf Monetary Authority of Singapore has released a consultation paper on the proposed guidelines on environmental risk management for banks, asset managers and
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
, for example, has changed significantly recently. Since last December, SEC has informed SET to monitor the trading activities of such shares closely to protect investors and prevent distortion of the
will closely coordinate with the SET to monitor stock trading activities and solve the problem in advance. Another aspect of the supervisory task is to improve risk management procedures of securities
under the authority in this matter, including coordinating with other relevant regulators, e.g. the Bank of Thailand and the Anti-Money Laundering Office. In this connection, the public and investors