invest in bills of exchange (B/E) of K.C. Property Public Company Limited (KC) which the former directors and executives of KC and others for jointly committing with dishonest intent by authorizing KC to
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company, claiming that such company was in the listing process of the Stock Exchange of Thailand (SET), when
personnel in capital market business. Notified this 25th day of August 2011. -signature- (Chalee Chantanayingyong) Deputy Secretary-General Acting Secretary-General Office of the Securities and Exchange
-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital
) Limited (“Link Capital I”) in form of a secured loan for the amount not exceeding USD 50 million or equivalent to THB 1,657 million (Weighted-average Interbank Exchange Rate at THB 33.137 per USD as of
(Mauritius) Limited (“Link Capital I”) in form of a secured loan for the amount not exceeding USD 50 million or equivalent to THB 1,657 million (Weighted-average Interbank Exchange Rate at THB 33.137 per USD
Securities and Exchange Commission No. Sor Nor. 31/2564 Re: Additional Provisions relating to Offering for Sale of Units of Collective Investment Schemes between Hong Kong Special Administrative Region of the