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
COMPANY LIMITED Disclosure Business News ( 8 record(s) found) Date Time Heading Link 11/11/2020 18:18 Notification of the connected transaction-renew from connected person 10/08/2020 18:30 Notification of
. management renew the management service contracts with appropriate profit margin only 2. solar energy which is a new business has higher gross profit margin than 2 existing businesses. Consequently, overall
substantially high incentive. {B}'s actions were deemed dishonest, unprofessional and illegitimately seeking benefits from investors in that he used the client's account to trade securities for the benefit of his
Re: Allocation of Cash Flow under Securitization Program and Reporting on Transfer of the Remaining Assets and Benefits of Special Purpose Vehicles