categories which are (1) provident funds of state enterprise, (2) provident funds of private companies, and (3) asset management companies. Both former categories are individual contests, while the third
) Soliciting a client from the securities company he used to work for to open a trading account with Apple Wealth. He lied that the shares in the client's trading account at his former employer had been
securities issuing company or listed company under the SEA.In addition, the SEC is examining other issues of public and stakeholders? complaints regarding whether the duty performance of current and former
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
Bangkok, June 25, 2015 - The SEC suspended {A}, a former capital market investment consultant of Phillip Securities (Thailand) Public Co., Ltd., for making trading decision on client's behalf and
themselves in an unfavorable position, for example, the employers going out of business, the new employers not having a PVD privilege, or the former employers limiting the retention period for the PVD benefits
Bangkok, April 22, 2013 - The SEC barred {A}, a former employee of Siam City Securities Co., Ltd., from holding any securities company management positions as well as revoked her investment
conjunction with Section 244 of the Securities and Exchange Act of 1992 (SEA) as follows:? Sagha Sakulekpaisan or ?Here-Tee? (former name: Chakchai or Thana Sae Jiem) was convicted on three counts with one-year
of 2020. This is mainly because the Company purchased shares from former shareholders of 55% with the value of INR 8.6369 per share. Moreover, India Rupee depreciated to about 17%; therefore, the
decrease of Baht 56 million or a decrease of 14% compared to that of the previous year amounting to Baht 394 million. The decline was mainly due to the relocation of the production base of a former large