persons are: (1) {A}, (2) {B}, (3) {C}, (4) {D}, and (5) {E}. The SEC has also banned the persons in (2) - (4) from performing duties as a branch manager in a business related to capital market. All of the
. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for
violation specified in the Notification of the Capital Market Supervisory Board.* The SEC therefore revoked the approval of Nutnicha as a branch manager and capital market investment consultant and banned
significant rise to the world’s 3rd highest rank with 86 scores, from No. 15 with 75 scores in the preceding year. Such development was a result of the improvement in the Ease of Shareholder Suits Index
UREKA will hold the annual general shareholders’ meeting on 30 April 2020 to seek approval for the investment of its subsidiary Ureka UU Co., Ltd. (UU) in two water supply projects to produce and
, starting from 1 February 2018. In addition, since {B} is also a branch manager of the bank, she is prohibited from functioning as branch manager responsible for capital market business of any bank or
}, who also held a branch manager position, it was found that she had advised a client to invest in a fund without giving complete and sufficient information as well as warnings related to the fund that
Bangkok, March 18, 2015 ? The SEC suspended {A}, a securities investment consultant and a branch manager of Bangkok Bank Plc., for failure to inform the client of sufficient information which was
Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three other securities investment consultants at Central Chaengwattana branch, namely {B}, {C} and {D} (then
1. Ms. Nataya Niyamanusorn, Assistant Secretary-General in charge of the Investment Management Division, has been appointed Assistant Secretary-General in charge of the Intermediaries and Market