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
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Foreign Investment Fund : FIF,Specific Fund | Offering Date : 12/12/2007 - 25/12/2007
Facebook page Beauty Natural : Unlicensed securities and derivatives business (Disclosure Date : 26/08/2022)
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
Facebook Page ชื่อ Natural Energy Fund : Unlicensed securities and derivatives business (Disclosure Date : 07/03/2024)
Facebook page "Natural Amazon coffee beans" : Unlicensed securities and derivatives business (Disclosure Date : 30/09/2025)
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