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...
compared to the previous year include budget spending, which increased to 94.66 points (from 88.46 points), operational quality, which increased to 88.36 points (from 82.43 points), the exercise of authority
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
However, the submitted information still lacks main points to accompany consideration. The SEC has therefore instructed Zipmex in writing to provide complete details of the incident, which includes
process in line with the current economic environment, international standards and relevant laws. The key points of revision are: (1) To increase the amount of damage claim eligible for entering the
conflicts of interest that may arise additionally.The proposed amendment contains several key points of change, including (1) determination of additional related persons in considering appointment of asset
BCP’s loyalty card, “Bangchak Green Miles” that allows members to collect points from purchase of any product. Developments were also made to the member card system in the form of a Digitized Loyalty
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