Bangkok, August 26, 2014 ?The SEC is seeking public comment on proposed common offering rules for new financial products not falling within a scope of any existing rules. Introducing the common rules
Facebook page "Complete Coffee Business Amz." : Unlicensed securities and derivatives business (Disclosure Date : 17/11/2025)
investors and beneficial owners of Thai nationality (“Thai investors”) to convert NVDR to common shares. In support of the amendment, the SEC has introduced the fee waiver regulations with the key points
Facebook page "Amazon common stock" impersonates "PTT Oil and Retail Business Plc." : Unlicensed securities and derivatives business (Disclosure Date : 19/03/2025)
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, 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
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and Singapore, and the revised Memorandum of Understanding on the Streamlined Review Framework for ASEAN Common Prospectus to cover issuances of plain debt securities under a debt issuance