securities products to the public without official permission from SEC. Investors are warned not to believe the advertised projects when approached to enter into investment contracts with Ronghui in the
from investment scams via various new forms and channels. In this regard, the SEC has observed a persistent trend of investment scams related to the capital market, with scammers often using online
เมื่อวันที่ 24 กันยายน 2562 สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) และตลาดหลักทรัพย์แห่งประเทศไทย (ตลท.) ร่วมเปิดโครงการ One-Stop Service อย่างเป็นทางการ ณ หอประชุมศาสตราจารย์
“Under the collaboration of UNDP, TLCA and SEC, a comprehensive platform - the SDGs Resource Center -will be initiated to serve as a one-stop knowledge hub for SDGs to assist businesses in driving
change the chain of command to bring about more comprehensive and clear situation awareness while the executive reshuffle will also be undertaken. The restructuring will become effective as from August 1
personal benefits from the margins of the offer prices. According to the findings of the SEC investigative team, 10 of the 11 investment consultants solicited several clients to invest in IPO shares to
the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this
Due to the spread of the COVID-19 pandemic, securities companies and derivatives intermediaries have to allow their employees to perform duties from home and provide operational systems and
persons are: (1) {A}, (2) {B}, (3) {C}, (4) {D}, and (5) {E}. The SEC has also banned the persons in (2) - (4) from performing duties as a branch manager in a business related to capital market. All of the
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