client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint

Securities Public Company Limited, the SEC further probed into the case and found that for the period of more than one year, Tanya, a capital market investment consultant, submitted a number of securities and

} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A

% YoY with a YoY drop in net earnings of 213%, reflecting non-operating items incurred in 3Q16 and 3Q17 performance. For comparative purpose, without non-operating items, such as gain (loss) on exchange

review to support our management towards better credit management standards.  Market Risk Management Market risk may arise from changes in interest rate, foreign exchange, equity and commodity prices, as

Assets and Connected Transaction for the Entire Business Transfer and Allocation of Securities to the Specific Investor (Private Placement) To The President The Stock Exchange of Thailand Attachment 1

1. Ms. Nataya Niyamanusorn, Assistant Secretary-General in charge of the Investment Management Division, has been appointed Assistant Secretary-General in charge of the Intermediaries and Market

market personnel for 10 years, effective from 6 January 2020 onwards.Investors are strongly advised to be careful in their fund investment and request transaction evidence issued by banks or asset

characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business

Bangkok, July 17, 2013 - The SEC revoked approval as well as disclosed inappropriate behavior of {A}, a capital market investment consultant of Kasikorn Securities Plc.  Following the report from