Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and concealed important information which may have caused misunderstanding or distorting of the facts. As a result, the SEC will not consider her renewal application for nine months.From a client complaint of Globex Securities Co., Ltd., the SEC found from the investigation that {A}, a former capital market...
Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. Therefore, the SEC sanctioned Benjawan from her duty as the personnel in the capital market and
administrative expenses to operating revenue, and tax benefits from BOI. Operating revenue continued to show growth compared to 9M/2018, mainly driven by 4 key growth drivers including “Younique Customized
companies generally offer private funds in the form of a standard portfolio. This business model provides clients with a selection of pre-defined investment portfolios without being customized to each
the making of customized investment plan and investment advice on capital market products suitable for the risk profile and investment objectives of each client.
market value Payment term By cash with 30 days of credit term The reason The Company sold brand new customized AGV products to KPPH for its production purpose. 2nd transaction Partners of Contract Seller
of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore sanctioned three investment consultants as follows: 1. Suspended {A} from her
the law*. The SEC, therefore, sanctioned the said four persons and the executive by suspension the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns