Microsoft Word - Representative 2551_en_final (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

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

’ representative appointment agreement. This initiative aims to facilitate and reduce costs associated with appointing a bondholders’ representative for bond issuers according to standardized procedures

The SEC emphasizes the significance of the roles played by the “bondholders’ representative,” who serves as a crucial mechanism for safeguarding and advocating for bondholders. The bondholders

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

ratio under the terms and conditions, changing the limit from not exceeding 3:1 to not exceeding 5:1. The SEC requires that the bondholder representative analyze the benefits and shortcomings as well