notified him of inappropriate submissions of trading orders for UNIQ shares, he neither promptly improved the trading submission surveillance system nor applied more stringent monitor on the clients? trading
Bangkok, May 2, 2013 - The SEC disclosed inappropriate behavior as well as imposed suspension on three investment consultants: (1) {A} of Bualuang Securities Plc. for two months; (2) {B} of RHB OSK
Securities Plc., {C} of KT ZMICO Securities Co., Ltd., {D} and {E} of GT Wealth Management Co., Ltd., effective from October 12, 2012 and (2) publicly disclosed investment consultant {F}'s inappropriate
Securities PLC, {D} of KTB Securities (Thailand) Co., Ltd., {E} of Globlex Securities Co., Ltd., and {F} of Classic Gold Futures Co., Ltd., effective from September 29, 2012, and disclosing {G}'s inappropriate
business expansion.The IFA has opined that the transaction is inappropriate and should not be approved by the shareholders’ meeting, as the proposed sale price of KTMS shares is lower than the fair value
client is aggressively concerned with maintaining the firm’s fees as low as possible. - Indications of an inappropriate limitation in https://www.sec.or.th/TH/Documents/Auditor/QAQR-04.xlsx securities
practice. The PRI https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9695 SEC advises MACO shareholders to exercise voting right on the acquisition of Hello LED, which is viewed inappropriate by
inappropriate short selling and long selling transactions. The consultation paper is available at: https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=1018 and the legal hub at https://law.go.th/listeningDetail
well as the exercise price aforementioned are inappropriate as they are lower than the fair value of SABUY shares. IFA estimates the prices by the adjusted book value at 1.38 baht per share
the specified level compared to the total number of outstanding shares. Additionally, the brokerage firm should monitor customer trading behavior to prevent inappropriate trading activities; (4) To