of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection
on 13 March 2020, SEC has already approved 17 such SSFs established by 13 asset management companies. “SEC has expedited the approval process to make sure that IPO of this special SSF can begin on 1
Microsoft Word - el287ee KUANG PEI SAN FOOD PRODUCTS PUBLIC COMPANY LIMITED SELLING THE INVESTMENT CAPITAL OF TRANG SURE CO.,LTD. A Kuang Pei San Food Products Public Company Limited would like to
from persons who were not the owners of the accounts or were not authorized in writing by the investors. Their acts caused damage to the clients during February – November 2018.The misconduct of the
execution program. She also transferred her own money into the client’s trading account as a collateral for trading loss. Meanwhile, the client did not contradict or object to the record of confirmed
Capital Market Supervisory Board.* SEC has therefore revoked the approval and will not accept her future application for approval as personnel in the capital market business for a period of 10 years
after the issuer has become a listed company. SEC Secretary-General Ruenvadee Suwanmongkol said: “SEC always emphasizes the importance of information disclosure of listed companies to make sure that
transactions even though the client did not come to the trading room to order the transactions herself to earn compensation at a higher amount than she should have actually received. {A}’s acts were deemed as
over the past few years using different definitions of transition. As this market grows, investors want to be sure that this is not greenwash but that the label is being used to identify activities that
into their trading accounts but the money was not deposited in the clients? accounts. The SEC?s further investigation revealed that Veerachai had replaced the name of the actual account owner on the