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
contractual arrangements, has or collectively have the power to govern its financial and operating policies so as to obtain benefits from its activities. 12 a. that has been completed or will be completed at or
expenses as they were required to set aside reserves for employee welfare benefits in compliance with the amendment to the new Labor Protection Act. Meanwhile, NPLs to total loans edged up slightly from the
may grow within a range of 2.9-3.3 percent in 2019, down from the growth of 4.1 percent in 2018. Development of Thai economic sectors during the rest of this year merits close watch after the Monetary
slightly higher, commercial banks’ asset quality still merits close watch. As of the end of the third quarter of 2018, net loans at 14 domestically-registered commercial banks grew 0.33 percent over-quarter
the legal or regulatory requirements have been complied with. The [insert name of the relevant regulator] has not, in any way, considered the merits of the debt securities being offered for investment
Exchange Commission does not imply that the legal or regulatory requirements have been complied with. The Office of Securities and Exchange Commission has not, in any way, considered the merits of the shares