Facebook Page ชื่อ Stock and fund professional : Unlicensed securities and derivatives business (Disclosure Date : 03/07/2024)
Professional Portfolio International Ltd. Website: www.ppi-advisory.com : Unlicensed securities and derivatives business (Disclosure Date : 21/07/2014)
Facebook Page ชื่อ Professional stock trading : Unlicensed securities and derivatives business (Disclosure Date : 13/12/2023)
Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and
Bangkok, August 28, 2012 ? ?It is necessary to expand access to sources of fund for business of all sizes, especially SMEs. The capital market can offer diverse financial vehicles and one of the
any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly without professional due care is in violation of Clause 23(2) and he is deemed to have the prohibited
professional duties with responsibility and care** by signing the documents knowing that no actual service was provided. SEC, therefore, orders the following administrative sanctions: (1) {D
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has