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
of Directors’ Meeting No. 3/2018 of General Engineering Public Company Limited (“the Company”) held on date 24th April 2018 had the resolution of approval to delegate of authority to executive
Rules, Conditions and Procedures for Investing in and Seeking of Benefits for Long Term Equity Fund
Re: Allocation of Cash Flow under Securitization Program and Reporting on Transfer of the Remaining Assets and Benefits of Special Purpose Vehicles
. Clause 10. For an advertisement related to a promotion which provides investors who invest in investment units with gifts, rights or any other benefits, such advertisement is permitted only when the
who invest in investment units with gifts, rights or any other benefits, such advertisement is permitted only when the promotion period, value and amount of gift, rights or any other benefits are
retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private