made-up investment project. In so doing, Panita replaced the names of the depositors with those of several other clients who were related to herself and used the money to trade securities via the trading
. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for
, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her
(IA) business undertakings. In this regard, Thai business operators have to inform the SEC of the names of such foreign personnel in advance and determine the term for their provision of advisory
total reported cases, have already been closed. The remaining instances are either newly reported or currently in the process of being addressed. For the reports of investment scams through social
companies and their affiliates, both in the Stock Exchange of Thailand (SET) and the Market for Alternative Investment (MAI) Ms. Ruenvadee Suwanmongkol, SEC Secretary-General said, “One of the SEC’s key
(Thai/English), date of birth, citizenship, sex, marital status, father’s name,/mother’s name, (former) titles, (former) surnames, name of spouse, IP numbers, behavior for visit to the website of the SEC
institu- tional investors Institutional investors are an increasingly diverse group of investors. While some invest on their own account such as pension funds and insurance companies others are asset
data: 1.1 Definitions and examples of data collected by the SEC Office Personal data: Data of a personal nature, for example, identification number/passport number, title, name, surname (Thai/English
-_investment_policy_and_management_plan_9-2013.pdf [ 6 ] Step Three: Develop a Focus List Some public pension funds may have their list of ESG engagement efforts developed externally, as when they are mandated by state legislatures through