personal benefits from the margins of the offer prices. According to the findings of the SEC investigative team, 10 of the 11 investment consultants solicited several clients to invest in IPO shares to
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
and regulations on the listing requirements for ordinary shares based on market capitalization which are extended to cover those businesses in the government-supported target industries. Under the
Bangkok, March 16, 2016 ? The Criminal Fining Committee has imposed a total fine of 25,322,064.39 on four offenders for using insider information to purchase ordinary shares and warrants of Siam
a civil penalty and return the benefits earned from the commission of the offenses at the total amount of 50,603,066.50 baht, (6) Supritha was ordered to pay a civil penalty of 333,333.33 baht, (7
rights and benefits of securities holders or the decision making of investors, the SEC, by virtue of Section 58(2) of the Securities and Exchange Act B.E. 2535 (1992), has therefore ordered MORE to clarify
currently in the process of drafting regulations, which are expected to be enforced within this year, that would permit the social enterprises, who are non-profit unlike ordinary businesses, to offer stock
the SEC Board to include ordinary person investors in the “institutional investor” category. The revision to the definitions of the term will become effective as from 1 October 2022. This may cause
information to sell IFEC shares, to pay civil penalty and compensation for the benefits gained from committing the offense. However, Suphanan did not agree to comply with the civil sanction. Later, on 27