At the academic seminar entitled “Investor protection mechanism and building confidence in the capital market” hosted by SEC on Wednesday 20 November 2019, experts from Australia and Malaysia took
shares of another company as a joint investment with the client and would share capital gains with the client; however, she did not use the client’s money to invest in such shares, nor did she buy the
misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of
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
violation of Clauses 20(1) and 20(5) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis
10.1379 246009802103-1 7UP นาย สมยศ พุ่มพันธุ์ม่วง ได้มา หุ้น 4.5081 3.7185 8.2267 17/03/2564 4.5081 3.7185 8.2267 246009582103-1 7UP ADVANCE CAPITAL PARTNERS PTE., LTD. จำหน่าย หุ้น 8.5899 4.8713
registered capital total baht 765,000,000 and Paid-up capital baht 765,000,000 with 7,650,000 common shares at a baht 100 par share and the Company will hold 16.67 % which amounts to baht 127,525,500 at value
8.2267 246009582103-1 7UP ADVANCE CAPITAL PARTNERS PTE., LTD. จำหน่าย หุ้น 8.5899 4.8713 3.7185 11/03/2564 8.5899 4.8713 3.7185 246009462103-1 7UP บริษัท พาหนะ อินเวสเตอร์ จำกัด ได้มา หุ้น 14.4331
-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital