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
SEC Public Service Center has been receiving many inquiries and information about public solicitation for investment in shares of PB. Smart Farmer Plc. Such solicitation contains information leading the public to believe that the said company is: (1) a social enterprise thus allowed to make a public offering without the requirement to obtain approval or file a registration statement with SEC, and (2) an SME or a startup thus allowed to raise fund in both the primary and secondary markets a...
SEC Public Service Center has been receiving many inquiries and information about public solicitation for investment in shares of PB. Smart Farmer Plc. Such solicitation contains information leading the public to believe that the said company is: (1) a social enterprise thus allowed to make a public offering without the requirement to obtain approval or file a registration statement with SEC, and (2) an SME or a startup thus allowed to raise fund in both the primary and secondary markets as well...
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
) 121,708.94 (100.00) Profit (loss) from Exchange Rate (931.01) (7,964.13) (7,033.12) 88.31 Loss on idemnity claims - (11,811.98) 11,811.98 (100.00) Profit (loss) before Finance cost and Income Tax 21,369.82
investment in 3 biomass power plant with total generating capacity of 26.9 MWs, by the disposal of ordinary shares in its three subsidiaries of UWC and the transfer of claims in relation to outstanding loans
Rules, Conditions and Procedures for Investing in and Seeking of Benefits for Long Term Equity Fund
Consideration : Conditions and other agreements in the contract are based on normal commercial terms. (8) Expected Benefits : The installation of the machinery for the production of Siding Board and Diamond Board