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
SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by
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
7.00% per annum from the original bond maturity date.The SEC has instructed the bondholders' representatives to thoroughly detail the advantages, disadvantages, benefits, and impact of approval or non
the unitholders and the mutual fund; 4.9 Advantages and disadvantages in terms of expenses, risks, benefits of unitholders; (5) For the unitholders who vote against the resolution/ do not express
investors? awareness in helping monitor our capital market and facilitate legal actions against any persons taking advantages of others. Key criteria of the regulations include methods for giving information
accept or to reject the tender offer, based on the principle of the best interests of the securities holders of the business; Identifying advantages/disadvantages if the shareholders reject the tender