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

is therefore proposing to amend the governing rules and regulations, as summarized below:(1) In addition to the existing requirements for reporting initial public offering (IPO) results (Form 81-1-IPO

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

is proposing additional regulations related to custody of clients’ assets by requiring that digital asset business operators undertake the following actions:  1)  Custody of fiat money: withdrawal and

that company. This is to ensure that REIT receives full benefits from invested assets and that REIT can supervise and control subsidiary companies’ operations to be in compliance with the same rules

opportunity for investors to select products and services suitable for their personal needs.   The SEC is therefore proposing the use of single form to reduce the burdens on investors and intermediaries

example, an IPO to cornerstone investors must not contain any agreement or contract that would render material benefits specifically to cornerstone investors for the disadvantage of other subscribers. This

offering in the shareholders’ meeting notice for the benefit of investors’ decision making. The main purpose is to enhance protection for the existing shareholders and prevent offering of benefits to any