securities trading accounts of Usuma and Thitirat to buy the UOB8TF units during 19 February 2016 – 4 March 2016 at 8.84 - 8.94 baht per unit. Usuma and Thitirat rendered assistance to his commission of the
follows: (1) During February – March 2017, Nutnicha solicited a client to buy IPO shares of a company, claiming that she had the right to buy such shares as an employee of Apple Wealth Securities. She
Bangkok, March 18, 2015 ? The SEC suspended {A}, a securities investment consultant and a branch manager of Bangkok Bank Plc., for failure to inform the client of sufficient information which was
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
a view to better reflect the ultimate controlling persons. The revised criteria have been effective since 4 March 2026.*The SEC considers the “source of funds” or “financial supporters” of major
capital market business personnel for a period of six years and eight months, effective from 22 March 2023.*** In determining administrative sanctions, the SEC takes into account several factors
issuer before the investment. The detail of transaction is as follow; Items 1 2 3 4 5 6 7 Date of transaction 7 March 2019 21 March 2019 22 March 2019 9 April2019 2 April2019 1 April2019 9 May 2019 Total
opinion Click here to display all results Last updated on 31 March 2022
Year 31/12/2020 Unqualified opinion with an emphasis of matters /Others Click here to display all results Last updated on 31 March 2022
/Others 2020 Consolidated Year 31/12/2020 Unqualified opinion with an emphasis of matters /Others Click here to display all results Last updated on 31 March 2022