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, 4 March 2024 – The Securities and Exchange Commission (SEC) has released a handbook for convening effective and transparent bondholders’ meetings while promoting the exercise of bondholders

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

emphasize the importance of fostering effective, transparent, and accountable management across all business sectors, while considering the benefits of stakeholders, and encouraging Thai businesses to

aspects are summarized as follows:(1) Enhancing clarity in PFS disclosure requirements by stipulating that disclosures must be clear, transparent, and not misleading regarding the nature, type, risks, or

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

rent to variable rent, and instead requiring the fund/trust to disclose to investors what is the minimum fixed rent of an asset; (3)   Amending the rule on the distribution of benefits or dividends to

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