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

duties or provide services with honesty and good faith, by misappropriating investor assets, while the conduct described in item (3.2) constituted conduct suggestive of dishonesty that has had a

Rules, Conditions and Procedures for Investing in and Seeking of Benefits for Long Term Equity Fund

Re: Allocation of Cash Flow under Securitization Program and Reporting on Transfer of the Remaining Assets and Benefits of Special Purpose Vehicles

. Ekkamon Chuntori and gained benefits from such transactions. The purchases were made in such a way that taking advantage of others by using non-public information material to GLOBAL share price concerning

”) through his securities trading account and clearing such transactions for Mr. Surasak’s benefits in such a way that taking advantage of others by using non-public information material to GLOBAL share price

information to sell IFEC shares, to pay civil penalty and compensation for the benefits gained from committing the offense. However, Suphanan did not agree to comply with the civil sanction. Later, on 27