inform the client that the holding period had not yet reached 5 calendar years, causing a violation of the specified condition and the client's loss of tax benefits. Failure to give the information or
duties with honesty by disguising that trading decisions were made by client; and seeking benefits during performance of duties. Following the complaint lodged by client of KT ZIMICO Securities Company
other institutional investors to oversee the investees, encourage them to seek solutions or make changes based on good corporate governance principles to create long-term benefits rather than short-term
can choose to receive their benefits in instalment after retirement, as opposed to a one-off total sum, and may choose to transfer the total benefits to a retirement mutual fund (RMF) after the PVD plan
Bangkok, 21 January 2019 - The SEC has revoked approval for two investment consultants for using investors' trading accounts to seek benefits for themselves, namely (1) {A}, capital market investment
' meeting to select new directors to run the business and try to solve IFEC problems urgently for the benefits of shareholders and the company.By failing to acknowledge the civil sanctions imposed by the
funds, and to provide more information related to the benefits that both employers and employees would obtain from effective investment management, resulting in a sufficient retirement funds for the
of bringing long-term business growth rather than looking at short-term benefits, resulting in sustainable business governance. During the last part of the seminar, participants from the business
Committee has resolved to instruct SEC to impose civil sanction whereby Kitti and Kongpat must pay a separate civil penalty, compensate for the benefits received from committing the offenses, and reimburse
for the benefits received from committing the offenses, at the amounts of 1,712,174 baht and 558,405 baht, respectively. Usuma and Thitirat must pay an equal civil penalty of 333,333.33 baht. If any