Facebook page AMATA - Capital Gain : Unlicensed securities and derivatives business (Disclosure Date : 16/05/2023)
Facebook page Capital Gain : Unlicensed securities and derivatives business (Disclosure Date : 15/04/2022)
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,...
Bangkok, October 6, 2015 ? The SEC filed a criminal complaint against Penkae Katekaew and Tan Lethi with the Department of Special Investigation (DSI) for collusively seeking unlawful gain causing
assist small- to medium-sized enterprises (SMEs) to gain greater access into funding sources, and to be in line with overseas crowdfunding regulations. It came into force from 16 March 2020.SEC
Facebook page AMATA - Capital Gain - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 16/05/2566)