} and {B}, two securities investment consultants, and {D}, a capital market investment consultant, failed to completely record a client's securities trading orders. Furthermore, the second investigation
confidential business secret is deemed performing duties dishonestly and betraying investors? confidentiality. Investor contacts are key capital market personnel who have direct and close contact with investors
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
result, sales expenses was higher than the same quarter in 2016 at Baht 11.16 million. Advance Prefab Co., Ltd., the precast concrete products manufacturer, completely established its plant and has started
: CEO 014/2 August 2018 ject: Clarific The Secret e company c mpared to sa 18 operating owings: venue form 4.43 million 14 million b reasing in qu t of Sales fo ion baht, re h Q2 year 2 entories for
) amount -5.56 Million Baht compare with the same period (Q.2) for the previous year amount -2.97 Million Baht. As the company has completely changed the licensee agreement for Protective Coating technology
Following the announcement of BX (which formerly operated in digital asset exchange business) that its business operations will completely shut down on 3 April 2020 which means it will stop
' trading orders via their mobile phones. In case of {C}, the SEC found that she did not record clients' trading orders completely, the SEC thus publicly disclosed her non-compliant performance and recorded
investors? decision making. Meanwhile, the suspension of the cooling period will be lifted only after CHEWA completely clarifies and provides equal and identical information in the IPO filing as that given in
from SCB Securities Co., Ltd. that {A} frequently failed to record her clients' securities trading orders. She then admitted that when orders had been executed completely from many of her clients, she