Common share | Initial Public Offering | Offering Date - 17/10/2013 - 21/10/2013
Common share | Initial Public Offering | Offering Date - 17/10/2013 - 21/10/2013
Common share | Initial Public Offering | Offering Date - 17/10/2013 - 21/10/2013
Common share | Initial Public Offering | Offering Date - 17/10/2013 - 21/10/2013
Common share | Initial Public Offering | Offering Date - 17/10/2013 - 21/10/2013
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of
have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during 22 September 2017 – 24 February 2018, {A}, then a securities investment consultant at the
had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in