SECURITIES COMPANY LIMITED THE QUANT GROUP COMPANY LIMITED THE ROYAL BANK OF SCOTLAND PLC, BANGKOK BRANCH THE ROYAL BANK OF SCOTLAND N.V. DIRECT CAPITAL COMPANY LIMITED TONTAN CORPORATION INVESTMENT ADVISORY
investment in (i) the companies in such employer?s group and (ii) investment units of mutual funds and trust units of trust having main objective to invest in the assets of employer?s assets and the companies
Bangkok, October 7, 2013 - The SEC sanctioned two executives and six investment consultants of Country Group Securities Plc., in relation to trading shares of Angpao Assets Plc. (PAO). The sanctions
). The total investment of 282 million baht presented at cost without any provision consists of the followings: (1) The investment through a chain of respective shareholding in Forerun Group Limited
Report on expiry dates of investment analysts / investment consultants classified by company Please wait... Report on expiry dates of investment analysts / investment consultants classified by
Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was
Following investors’ complaints and SEC’s further investigation, it was found that during 2013 – early 2015, a group of persons opened a learning course on the topic of technical analysis and gave
suppress frauds related to public solicitation for digital asset investment. The group also uses this opportunity to expand the network for sharing knowledge and educating the public about digital asset
Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's
The SEC held a group meeting with nine organizations to integrate collaboration to prevent and suppress digital asset-related frauds and promote investor education regarding digital asset