Conduct for approved investor contacts. Each sanction runs for a period of one year, starting from November 21, 2006. Saranporn and Surat committed connected misconducts when the former allowed the
Bangkok, October 30, 2006 ? The SEC has disseminated a circular to all asset management companies today to update penalty procedures for unintentional or immaterial errors committed against customers
According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a
law having measures for investor protection comparable to those provided under the SEA. Furthermore, penal provisions will also be amended to punish those committed offences under the SEA overseas but
Section 300 with Section 56, Sections 59, 238, 241, 246, 274, 275, 296, 298 and 312 of the SEA in conjunction with Section 83 of the Penal Code. As Kittipat committed several distinct and different offences
this customer group’s share of wallet devoted to KBank. We prioritized expansion of new potential customers who reside in strategic provinces across the country through the introduction of products and
who reside in strategic provinces across the country, through the introduction of products and services based on big data analytics, in order to increase this customer group’s share of wallet devoted to
introduction of products and services based on big data analytics with the aim of becoming Customers’ Main Bank in this segment and increasing this customer group’s share of wallet devoted to KBank. Along with
According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, actions liable to be offenses committed by the three persons above were detected during 16