Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
Type of securities : Common share | Effective Date : 18/01/2024 | Close Selling Date : 24/01/2024
Bangkok, March 18, 2015 ? The SEC revoked the approval of a financial advisor supervisor, namely {A} of KPMG Phoomchai Business Advisory Ltd., for willfully imparting false statement and concealing
Bangkok, July 4, 2016 - The SEC has suspended the approval of {X1} Securities (Thailand) Co., Ltd. as financial advisor and the approval of {A} as the company's supervisor of financial advisory
Bangkok, May 10, 2016 ?? The SEC invites investors and the public to visit SEC Café Working Space at Money Expo Bangkok 2016 to learn more about smart saving and investment tools that could help them to achieve personal goals.SEC Secretary-General Rapee Sucharitakul said, ?Saving and investment is important at every stage of our lives. We therefore encourage the public to make a viable financial plan that could support their life goals. This year we feature investment knowledge updates, edutainm...
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
on investment advisor via crowdsourcing which are required to be granted SEC licenses. Investment advice must be made to general, not specific, investors and must be independent advice without
Bangkok, May 10, 2016 ? The SEC invites investors and the public to visit SEC Café Working Space at Money Expo Bangkok 2016 to learn more about smart saving and investment tools that could help them to achieve personal goals.SEC Secretary-General Rapee Sucharitakul said, ?Saving and investment is important at every stage of our lives. We therefore encourage the public to make a viable financial plan that could support their life goals. This year we feature investment knowledge updates, edutainm...
services through business operators in the host country, prohibition of giving advice to particular customers and soliciting for sales of the capital market products. Each ACMF member may issue additional