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

characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her

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

the SEA, i.e., imprisonment for up to two years or a fine not exceeding twice the amount of the benefits received or should have been received but not less than the minimum amount of 500,000 baht, or

found that the aforesaid investment consultants proceeded with the redemption of long-term equity fund (LTF) units for clients in breach of the conditions for receiving tax benefits despite warnings

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

speakers from both the domestic and international spheres, who exchanged opinions relating to the significance and benefits of market forces in the development of the capital market. The speakers also

accounts to seek benefits for himself and the others, a misconduct of client asset exploitation. At the time of his wrongdoing, he was employed by RHB Securities (Thailand) PLC (RHB).Following a complaint