Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the

According to AIA’s inspection report and SEC’s further investigation, it was found that Sorrapon received the unit-linked life insurance premium from the client but did not forward the premium

Following the tips from various sources to SEC, it has been found that there are several solicitations via social media platforms such as Facebook and YouTube for investment in seven products that

Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium

TMB Bank Public Company Limited (TMB). According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa

years and 10 million baht within four years, and (3) requiring REIT managers to report the maintenance of capital to the trustees.The consultation paper can be found at https://www.sec.or.th/TH/Pages

share price and trading volume against normal market conditions. In this regard, SEC has found that one of the factors for such trading irregularity was that the true free float of DELTA shares was low

to the SET referral and the SEC further investigation, it has been found that during 25 February - 17 March 2015, Surachai, Somsak and Orthai, who were clients of Phichayada (at the time working for a

investors can better understand the fund features and investment risks. Meanwhile, rules on selling practice of investment consultants have been revised accordingly.The consultation paper can be found at

statement later. In case investors do not want the full prospectus, they must be given the summary of key investment information. The consultation paper can be found at https://www.sec.or.th