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
The SEC is considering measures to further enhance the protection of benefits for employees who are fund members and to ensure that information is sufficiently complete for the provision of services
The Securities and Exchange Commission (SEC) organized an internal knowledge-enhancement activity to strengthen understanding of ethical standards governing the acceptance of assets or other benefits
, respectively.The main criteria for selecting qualified entrants include their fund management performance, their strengths in post-retirement services and support, as well as the roles of asset management companies
funds in Saudi Arabia to present information on growth, opportunities, and strengths in businesses related to tourism, hospitals, and alternative energy, which are areas of significant investment interest
two major benefits. First, the strengths earned KGI a reputation as a leading creator of innovative products. KGI also earned a track record of gains from proprietary trading. The ratings are, however
governance (ESG) dimensions, generating economic value while delivering benefits to local communities.Accordingly, the BOI has driven the “Investment Promotion Measures for Community and Social Development