Facebook Page ชื่อ Buying good stocks : Unlicensed securities and derivatives business (Disclosure Date : 18/07/2024)
Bangkok, February 15, 2012 ? The SEC has revoked approval for Maris Tarab and Burim Chombhubol as fund manager and prohibited them from re-entering the industry for 10 years, starting from February 14, 2012. The sanctions followed the SEC findings that the said persons mismanaged T.U. Dome Residential Complex Property Fund (T.U. Dome) severely, causing substantial damage to the fund and the unitholders. Maris and Burim, who were T.U. Dome fund managers during 2006-2009 and 2008-2009 respectivel...
One of the objectives of the Thai capital market development plan is to enable the public to access and utilize the capital market for savings and investment purposes. SET has taken steps to create opportunities and reduce restrictions to enable prospective investors to access investment services by taking advantage of technological advances which lead to the development of new financial service platforms that correspond with consumer behaviors today, including new services to sell mutual...
needed for its business model. This approach could support future entry of all types of securities businesses and increase the number of intermediaries who could render more convenient services to
Facebook Page ชื่อ Buying good stocks - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 18/07/2567)
criminal complaint against Roynet Plc. (Roynet) and Kittipat Yaoprukse for falsifying account to deceive other persons, recording false statement, concealing the report on buying and selling of securities
buying orders for additional securities. {A}, however, made decision to buy and sell securities in the client account. She also sold securities in such account with a total value of more than 900,000 baht
Sanction Miss Ponpimon Laochariyakul Buying or selling securities for her own benefit by using clients? accounts
her approval and banned her re-entry into the industry for two years.Also reported by his employer Bualuang Securities PLC, the SEC probed into {B} case and found that {B} had been entrusted to trade
denied the authorization of the whole arrangement. {D} and {A} subsequently entered into an agreement with the client whereas the client agreed to formalize the past buying transaction by signing the