Facebook Page ?CP. Comprehensive? impersonates ?CP AXTRA Plc.? : Unlicensed securities and derivatives business (Disclosure Date : 04/11/2024)
Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
Association of Securities Companies (ASCO) agree that such research should contain complete, useful information for investors to make sound judgments. Thus, ASCO members are asked to provide such material
viewed at https://sustainablefinance.sec.or.th/Bond . The SEC has developed and launched the “ESG Product Platform” in January this year to be used as a comprehensive and alternative information
SEC Secretary-General Rapee Sucharitakul said, “previously the comprehensive provision of counselling and advisory service on investment would be limited to private wealth only while the general
Facebook Page อ้างชื่อ CP. Comprehensive - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 04/11/2567)
fines. Meanwhile, the SEC is nearly complete the evidence-gathering process concerning other SHIN-related allegations of which the SEC Board directed a thorough and urgent examination, including the
the Internet, and the inconvenience for thorough reading of lengthy registration statements and prospectuses.The proposal is not expected to add much compliance cost because in practice issuers tend to
inability to submit both financial statements and requested for further deadline extension. After thorough consideration, the SEC turned down the request this time.