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

Rules, Conditions and Procedures for Investing in and Seeking of Benefits for Long Term Equity Fund

Re: Allocation of Cash Flow under Securitization Program and Reporting on Transfer of the Remaining Assets and Benefits of Special Purpose Vehicles

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

installation and fees, K-Payroll Benefits as well as business opportunities that meet their needs. In the second quarter of 2018, KBank introduced special programs for deposit and investment products, a life

7.00% per annum from the original bond maturity date.The SEC has instructed the bondholders' representatives to thoroughly detail the advantages, disadvantages, benefits, and impact of approval or non

Community (AEC), and the advancing digital age amid the rapid pace of technological advancement, thus leading to changing customer behavior, regulatory changes and life platform-driven competition. Given the