The Securities and Exchange Commission

Printed on 16 November 2018 03:47

In response to a number of tips and complaints about fraudulent solicitation of unauthorized securities and derivative business by which many of investors has been victimized, the SEC wishes to notify that legitimate businesses are required to receive license to undertake securities business or registered as securities business under the Securities and Exchange Act of 1992 and derivatives business under the Derivatives Act of 2003. List of licensed business can be found at License check

If you have enquiries about investment in securities and derivatives products or related services, please feel free to contact the SEC at 0 2263 6000 or In case of investment that likely to be a fraud or embezzlement with characteristics similar to Ponzi scheme and loan shark, investors may contact or report to Financial Crime Call Center 1359, Ministry of Finance.

To provide investors with information useful for making prudent decision before using investment services, the SEC has prepared a list of unlicensed or unregistered business from the traces and complaints received from investors and will keep the list update. In some cases, the name of unlicensed business may bear resemblance or possess similarity to one another; however, they may be or may be not related.

Investor Alert

Please enter search criteria
Type of Action
Disclosure Date
Investor Alert ( 83 record(s) found)
NameType of actionDisclosure DateLink
Ascot Global Tradingunlicensed securities and derivatives business14/11/2012
Axicorp Financial Services Pty.Ltd./Axitraderunlicensed securities and derivatives business23/08/2013
Beyond Liberty Company Limitedunlicensed securities and derivatives business22/04/2014
Blog "Nateetong"unlicensed securities and derivatives business22/10/2013
CCD ADVICE SERVICE Co.,Ltd.unlicensed securities and derivatives business03/01/2013
Coreharbour Ltd.unlicensed securities and derivatives business14/07/2015
Credenda Associates unlicensed securities and derivatives business09/07/2015
degree10unlicensed securities and derivatives business17/10/2012
doohoonunlicensed securities and derivatives business28/09/2012
EMM Consultancy และ EMM Consulting Co., Ltd. unlicensed securities and derivatives business09/07/2015