former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
Bangkok, February 29, 2016 ? The SEC has laid out a guideline for listed companies to simplify their proof of identity requirements imposed on shareholders or their proxies at the annual general
} and {B}, two securities investment consultants, and {D}, a capital market investment consultant, failed to completely record a client's securities trading orders. Furthermore, the second investigation
assets, redeeming the mutual fund units without client consent in the following manner, causing damage to the client, who had completely compensated, in the amount totaling 1,027,000 baht: 1
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
result, sales expenses was higher than the same quarter in 2016 at Baht 11.16 million. Advance Prefab Co., Ltd., the precast concrete products manufacturer, completely established its plant and has started
) amount -5.56 Million Baht compare with the same period (Q.2) for the previous year amount -2.97 Million Baht. As the company has completely changed the licensee agreement for Protective Coating technology
Following the announcement of BX (which formerly operated in digital asset exchange business) that its business operations will completely shut down on 3 April 2020 which means it will stop
' trading orders via their mobile phones. In case of {C}, the SEC found that she did not record clients' trading orders completely, the SEC thus publicly disclosed her non-compliant performance and recorded
investors? decision making. Meanwhile, the suspension of the cooling period will be lifted only after CHEWA completely clarifies and provides equal and identical information in the IPO filing as that given in