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
Pursuant the Digital Asset Business Law, as amended, digital asset business operators having any of the following characteristics are deemed to be providing services to persons in Thailand, which requires proper license under the Digital Asset Business Law: (1) having a digital platform displayed, in whole or in part, in the Thai language; (2) having a digital platform registered by using a domain name with the extension “.th” or “.ไทย” or any other name that signifies Thailand or the Kingd...
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
The SEC urges investors who use these platforms to consider withdrawing or transferring their assets from the platforms before 28 June 2025 to protect their interests and prevent any potential impact that may arise after the platforms are blocked.The SEC advises the public and investors to be cautious when using services of unlicensed DA business operators. The list of unlicensed business operators is available at https://market.sec.or.th/public/idisc/en/InvestorAlert. Additionally, the list of...
benefits from the securities in possession. In any case, securities companies would need to establish efficient control and risk management system.SEC is therefore conducting a public hearing on the
future revenue rights during a certain period to the fund while retaining title, management and control over the assets. In doing so, feasibility studies and regulatory restrictions of the infrastructure
Rules, Conditions and Procedures for Investing in and Seeking of Benefits for Long Term Equity Fund
’ right to receive benefits or capital reimbursement of each unit type shall be in accordance with the provisions of each unit type; Clause 6 The particular on the dividend payment and restrictions shall