เว็บไซต์ Classic Ausiris : Unlicensed securities and derivatives business (Disclosure Date : 19/10/2023)
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เว็บไซต์ อ้างชื่อ ETRC classic : Unlicensed digital asset business (Disclosure Date : 03/07/2024)
AIA INVESTMENT MANAGEMENT (THAILAND) LIMITED| | Offering Date : 21/03/2022 - 01/04/2022
AIA INVESTMENT MANAGEMENT (THAILAND) LIMITED| | Offering Date : 25/03/2022 - 05/04/2022
AIA INVESTMENT MANAGEMENT (THAILAND) LIMITED| | Offering Date : 18/11/2020 - 30/11/2020
Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its clien...
SCB ASSET MANAGEMENT COMPANY LIMITED| ,Super Savings Fund : SSF | Offering Date : 15/07/2019 - 22/07/2019