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
process, incentives or rewards to employees with good performance, and management measures for employees who do not achieve the targets. Such processes are well informed to executives and employees. 4.3 The
qualify for rewards. The campaign was to urge and influence customer decisions inappropriately. In addition, Coins TH distributed the advertising material of such campaign without the clear and visible
program and engage in trading activities on the same day to qualify for rewards. The campaign was to urge and influence customer decisions inappropriately. In addition, Coins TH distributed the advertising
other companies, which offer high returns along with having minimum investment amounts and an investment period no more than one year. Promotions such as financial rewards or bonuses are also being
knowledge and understanding in capital market products and services before making investment decision. Those questions include ?What are the risks and rewards of the investment??; ?What kinds of investors are
) CP Fresh Mart Phetchaburi 38/1 (Sukhumvit 39), and 10) Veggiology, collecting two types of cleaned plastic waste: stretch plastics and hard plastics. There was also a point collection for rewards