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
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
To ensure that asset management companies primarily manage funds for the investors’ benefits, SEC has revised the regulations in order to control and monitor mutual fund management by requiring
’ assets shall be reconciled every business day to ensure accurate and updated records of clients’ assets; and 3) Seeking benefits from clients’ assets: Seeking benefits from clients’ fiat money shall be
market, including guidelines for enhancing the development of the Thai securities industry where all sectors are able to gain benefits fairly and efficiently. The joint meeting was held at the SEC
information to purchase Rayong Purifier Plc. (presently known as RPCG Plc.) (RPC) shares for their own benefits, as well as Piyanuch Janetumnugul as aider and abettor in the scheme. With the referral from the
} Company (presently known as {X2} Company) shares for their own benefits, as well as {C} as aider and abettor in the scheme.With the referral from the Stock Exchange of Thailand, the SEC's probe found that
sufficient information by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC