past conduct; the cooperation or obstruction with SEC’s investigation; and any previous record or past behavior which indicating that the subject person is not fit and proper to work in capital market
person under consideration; the penalty he/she has already served; the impacts, loss or benefit incurred; any steps taken to rectify past conduct; the cooperation or obstruction with SEC’s investigation
orders in large volumes. The practice may aim to mislead other investors by creating a false impression of escalating bid or offer demands at a given time, or it may be an obstruction to the buying or
or offer demands at a given time, or it may be an obstruction to the buying or selling activities of other investors, consequently compelling them to send trading orders at prices higher or lower than
Notification of the Capital Market Supervisory Board.* SEC has therefore suspended {A}’s approval as a securities investment consultant for three months. However, since BBL has suspended her from performing
services dishonestly. Both persons were working at Bangkok Bank Public Company Limited (BBL) at the time of their misconduct.In the case of {A}, BBL's inspection report and the SEC's further investigation
Investment Management Companies and Chief Executive Officer of BBL Asset Management Co.,Ltd., Win Udomrachtavanich, Chief of Executive Officer of One Asset Management Co., Ltd., and Kris Chantanotoke
,? she added.The 26 I Code endorsers are (1) Land and House Fund Management Co., Ltd., (2) One Asset Management Ltd., (3) SCB Asset Management Co., Ltd., (4) BBL Asset Management Co., Ltd., (5) Asset Plus
., Ltd.: SCBAM;(6) Merchant Partners Asset Management Limited: MPAM; and (7) UOB Asset Management (Thailand) Co., Ltd.: UOBAM*3. Six commercial banks, namely:(1) Bangkok Bank Public Company Limited: BBL;(2
Securities (Thailand) Co., Ltd. 12) Bualuang Securities Public Co., Ltd. 13) BBL Asset Management Co., Ltd. 14) Principal Asset Management Co., Ltd. 15) Finnomena