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

Type of securities : Common share | Effective Date : 04/11/2019 | Close Selling Date : 07/11/2019

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

Integration, and Credit Enhancement” ในงานอบรม “Enable ESG Bond Issuance 2025: Practical Approaches, Challenges, and Opportunities” ซึ่งสมาคมตลาดตราสารหนี้ไทย (ThaiBMA) ร่วมกับ ก.ล.ต. และกองทุนส่งเสริมการ

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

and Human Rights: HRDD Practical Guides Training) ในหัวข้อ “ความก้าวหน้าของรายงานด้านธุรกิจกับสิทธิมนุษยชนของไทย” ซึ่งเป็นการดำเนินการภายใต้บันทึกข้อตกลงความร่วมมือในการก่อตั้ง “สถาบันธุรกิจและสิทธิ

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 Securities and Exchange Commission (SEC), in collaboration with the Faculty of Law, Chulalongkorn University, organized a practical workshop for listed companies on “Human Rights Due Diligence

Practical Guidelines for Business Continuity Management

Practical Guidelines on Disclosure of Information for Sustainable and Responsible Investing Funds (Attachment to Practical Guidelines No. Nor.Por. 2/2565)