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Bangkok, 20 October 2016 - The SEC has suspended approval of 11 investment consultants of six securities companies for soliciting investors to purchase IPO and over-the-counter shares to seek
บริษัทจดทะเบียนไม่เคยทำ PO มาก่อนประสงค์ที่จะทำ IPO เพื่อนำหุ้นไปจดทะเบียนในตลาดหลักทรัพย์ฯ โดยในการทำ IPO นั้น บริษัทฯ มีความประสงค์ที่จะจัดสรรหุ้นส่วนหนึ่งให้
Bangkok, 3 November 2017 ? The SEC emphasizes the importance of information disclosure in the registration statement and prospectus so that investors will be able to access complete information before making decisions to invest in initial public offerings (IPO). SEC Deputy Secretary-General Prakid Punyashthiti said: ?Investors should study the information of any financial instument of their interest before deciding to invest. In case of IPOs, investors can access important information in the p...
shares of another company as a joint investment with the client and would share capital gains with the client; however, she did not use the client’s money to invest in such shares, nor did she buy the
his approval as investment consultant and branch manager or equivalent position for two months for failing to comply with the client’s instruction, effective from 5 April 2019, and disclose the
future application for approval as personnel in capital market business shall not be accepted for five years. In any case, since Krungthai Zmico has already suspended her from the role of investment
Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2017 | Close Selling Date : 19/12/2017
Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 13/11/2017 | Close Selling Date : 28/11/2017