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
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
's character that gives dividend to coin holders, without an approval from the SEC Office in offering the newly issued digital token to the public via the Facebook page named BarterSmart and at the
character that gives dividend to coin holders, without an approval from the SEC Office in offering the newly issued digital token to the public via the Facebook page named BarterSmart and at the seminar held
Company Limited --> MTC 3. Character of Transaction : KYE entered into the Thai Baht Pooling Service Agreement with MTC Whereby MTC : Agree to provide management service relating to Thai Baht current
Rules, Conditions and Procedures for Investing in and Seeking of Benefits for Long Term Equity Fund