its subsidiaries for the six-month period end 30 June 2019 represented a profit of Baht 66.44 million. Compared to the same period of 2018, the loss was Baht 259.31 million, increased profit of 126
accounts amounting to Baht 43.63 million, the Group incurred a net loss of Baht 447.70 million. Compared to the same period of 2018, the profit was Baht 215.20 million if excluding the reversal of impairment
incurred the total damage of 6.95 million baht onto the investor. SEC has considered that {A} failed to perform duties with loyalty* by committing wrongful acts against the investor’s assets, which was
wrongful acts against investors’ assets are liable to the highest sanction of revocation of approval for investment consultant for Complex Financial Products Type 2. However, the approval for Somchai as
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during the months of March and October 2017, Nattapong, then a securities investment consultant at the
addition, due to the fact that Amorn, Pipat and Nasika held the position of director and/or executive of AJD at the time of committing offenses and were imposed with a civil penalty by the Civil
According to the information from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that from 25 July to 9 August 2017 (a total of 11 business days) Surin had been
underwriting will also be revised in responsive to current circumstances. The consultation paper is available on www.sec.or.th. Stakeholders and those interested in the proposal are welcome to submit comments
the securities company may reduce the expenditure for undertaking its business by using back office service from service provider and due to the criteria for undertaking securities business of
reduce the expenditure for undertaking its business by using back office service from service provider and due to the criteria for undertaking securities business of securities company has prescribed