financial advisory or planning services have been provided only to high-net-worth invertors. SEC then initiates the Wealth Advice for All project with the goal to encourage the business operators in the
Thailand (SET) and the SEC's further investigation, Pinit, who was then an independent director of PDI (he no longer holds the position), knew that the company's operating results for the third quarter of
auditors. The research team then proposed recommendations to address the issue. SEC Deputy Secretary-General Mrs. Sirivipa Supantanet said: “The Thai capital market is a major contributor to the development
correlated timing with high volumes to control the market price of SLC shares to mislead general public and induced them to trade in SLC shares. The nine accounts then were able to gradually offloaded their
shares and warrants (UMS-W1) by using the company?s then undisclosed information concerning its operating performance for Q4/2008, in which the company posted substantial decrease in net profit due to
initial public offerings (IPO) of Takuni Group Public Company Limited (TAKUNI) and CCN-Tech Public Company Limited (CCN) in late 2014 has revealed that Chupong, then CGH executive responsible for the
Limited (TAKUNI) and CCN-Tech Public Company Limited (CCN) in late 2014 has revealed that {A}, then CGH executive responsible for the underwriting of TAKUNI and CCN securities, used nominee accounts to
Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three other securities investment consultants at Central Chaengwattana branch, namely {B}, {C} and {D} (then
joined and assigned their executives and representatives to attend financial literacy training courses. The trainees then become the trainers working on knowledge transfer, activities or clinic within
Bangkok, December 23, 2013 - The SEC suspended three financial advisor supervisors, namely {A}, then an employee of {X1} Co., Ltd., {B} of {X1} Co, Ltd., and {C} of {X2} Plc. The suspension resulted