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
be prohibited from soliciting money, gifts, or favors from anyone with whom the CRA does business and should be prohibited from accepting gifts offered in the form of cash or cash equivalents or any
that owns a trading instrument issued by a rated entity or obligor 2.16 A CRA employee should be prohibited from soliciting money, gifts, or favors from anyone with whom the CRA does business and should
7.00% per annum from the original bond maturity date.The SEC has instructed the bondholders' representatives to thoroughly detail the advantages, disadvantages, benefits, and impact of approval or non
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
investors? awareness in helping monitor our capital market and facilitate legal actions against any persons taking advantages of others. Key criteria of the regulations include methods for giving information