The prevention and management of conflicts of interests in investment management businesses are one of SEC’s important strategies because the business structure in Thailand is financial

shareholders. As it is a sizable connected transaction and the acquisition of asset required to be approved by the resolution of shareholders? meeting. BROOK will hold an extraordinary shareholders? meeting on

. Accordingly, the transaction is subject to the prior approval of the shareholders? meeting.  CWT board of directors and audit committee viewed that the investment project is beneficial and appropriate reasoning

Bangkok, August 17, 2015 ? The SEC urges shareholders of Gunkul Engineering Public Company Limited (GUNKUL) to study the information and exercise their voting rights on the investment in a solar

(IFA) opined that the shareholders should not approve the transaction for several reasons. First of all, it is an investment in high risk assets and the uncertainty of debt repayment could significantly

or giving any advice to the client, he signed such selling order form in the capacity of an investment consultant. In addition, he neither examined the transaction nor requested for additional

without using the money to buy investment units as per the clients’ orders, (2) bought investment units less than the amount ordered, (3) misappropriated her clients’ money by depositing it into her own

carefully before making an investment decision. In any case, the execution of a unit buy/sell transaction by any person other than the account owner must be authorized in writing in advance

Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients

structured note offering documents without making contact or giving investment advice to investor which caused the transaction to sell structured notes to be executed as if the investment consultant had