without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam
Microsoft Word - 62-10_Eng_Explanation of the business profits for the quarter 1-2019.DOC FANCY WOOD INDUSTRIES PUBLIC CO.,LTD. 357 MU 12 SOI SUKSAWAT 84, SUKSAWAT RD., PRASAMUTJADEE, SAMUTPRAKARN
Microsoft Word - 62-10_Eng_Explanation of the business profits for the quarter 1-2019(edit).doc FANCY WOOD INDUSTRIES PUBLIC CO.,LTD. 357 MU 12 SOI SUKSAWAT 84, SUKSAWAT RD., PRASAMUTJADEE
Microsoft Word - 61-06_Eng_Explanation of the business profits for the quarter 1-2018.DOC FANCY WOOD INDUSTRIES PUBLIC CO.,LTD. 357 MU 12 SOI SUKSAWAT 84, SUKSAWAT RD., PRASAMUTJADEE, SAMUTPRAKARN
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak 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 any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly wit...
According to the findings of SEC inspection on the operation of SKFM whose main business is private fund management, in 2018 Mr. King, CEO and fund manager of the company at the time, acted in the following manners: (1) funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a continual basis from 2015 to 2017; (2) managing private funds without taking the cli...
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