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
Rules, Conditions and Procedures for Investing in and Seeking of Benefits for Long Term Equity Fund
appointment of fund supervisor and in compliance with the Securities and Exchange Act B.E. 2535 (1992) as well as the duty to preserve the benefits of all unitholders. In addition, in the event of change of
Re: Allocation of Cash Flow under Securitization Program and Reporting on Transfer of the Remaining Assets and Benefits of Special Purpose Vehicles
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
. Additionally, this event aimed to promote public-mindedness and community service through the conservation of nature and the environment. It also sought to rehabilitate and preserve mangrove forests as