deemed a failure to perform duties responsibly, carefully and honestly in violation of Section 89/7 of the Securities and Exchange Act of 1992 (SEA), which caused him or other persons to gain benefit and
deemed as failure to inform the client of sufficient information which was material and relevant to the client's investment decision, in violation of Clause 20(2) of the Notification of Capital Market
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
Bangkok, August 16, 2012 ? The SEC reveals that provident funds offering employee?s choice continually increased in Q2/2012. The record showed an increase of 176 employers offering employee?s choice or a 5% rise over previous quarter, as employer realizes the benefits that its employees will receive from diversifying investment policies. ?Provident funds with employee?s choice continually gain popularity, as employers and organizations realize the benefits of employee?s choice that offers divers...
former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of
Facebook page “Gold Futures Continuous” impersonates “HUA SENG HENG Co., Ltd.” : Unlicensed securities and derivatives business (Disclosure Date : 15/08/2024)
Facebook page "HGF Futures Continuous Online" impersonates “HUA SENG HENG Co., Ltd.” : Unlicensed securities and derivatives business (Disclosure Date : 26/08/2024)
Facebook page “Gold Futures Continuous” impersonates “HUA SENG HENG Co., Ltd.” : Unlicensed securities and derivatives business (Disclosure Date : 26/08/2024)
Facebook page “HGF Futures Continuous Online” impersonates “HUA SENG HENG Co., Ltd.” : Unlicensed securities and derivatives business (Disclosure Date : 26/08/2024)