and the persons whom IFEC identified as director via the Stock Exchange of Thailand (SET) to solve the company's problems urgently and to disclose their individual clarifications to the public within
main business is private fund management, to solve the detected issues in accordance with the standards and guidelines for business operation. The company has already taken action accordingly
deemed a failure to perform duties responsibly, carefully and honestly in violation of Section 89/7 of the Securities and Exchange Act of 1992 (SEA), which caused him or other persons to gain benefit and
without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam
without double-checking the correctness of processing and confirming the redemption orders in violation of the tax terms.SEC found the three investment consultants to have failed to perform duties with
Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly wit...
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
urgently solve its problems, such as loan defaults and failure to prepare an submit financial statements to the Stock Exchange of Thailand (SET) to avoid a possible delisting from the SET and mitigate
million baht to solve the issue of decreasing capital adequacy ratio below the requirement specified under the Insurance Law. He obtained the material non- public information by virtue of his positions
that TIP had to increase its registered capital shares at the amount of 250 million baht to solve the issue of decreasing capital adequacy ratio below the requirement specified under the Insurance Law