personal benefits from the margins of the offer prices.    According to the findings of the SEC investigative team, 10 of the 11 investment consultants solicited several clients to invest in IPO shares to

Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She

seeking unfair benefits from investor by taking advantage of her duty performance.  In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the

importance and the benefits of reporting carbon footprint for organization. Both parties will also ensure to have Carbon Footprint for Organization monitoring, reporting and verification (MRV) system in place

Maybank Kim Eng Securities (Thailand) PLC, Chonburi branch,  for trading securities through clients' accounts for their own benefits and using non-financial institution loans. The SEC also suspended {E

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