Complex Type 1 Investment Consultant
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
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, 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,...
ชื่อผู้ได้มา/จำหน่าย :?SHINE WEALTH HOLDINGS LIMITED | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 02/02/2558
ชื่อผู้ได้มา/จำหน่าย :?SHINE WEALTH HOLDINGS LIMITED | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 08/10/2561
Mr. Shine Bunnag Mr. Shine Bunnag, a Chief Executive Officer for the operation of Nation Multimedia Group Public Company Limited ("NMG"), shall be liable for NMG’s failure to prepare and