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
KRUNG THAI ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Brown Field Infrastructure Fund | Offering Date : 22/06/2015 - 26/06/2015
Facebook page "Investment Authority of Aurora" impersonates “Aurora Design Plc.” : Unlicensed securities and derivatives business (Disclosure Date : 26/08/2024)
Facebook page “Investment Authority of HSH” impersonates “HUA SENG HENG Co., Ltd.” : Unlicensed securities and derivatives business (Disclosure Date : 02/08/2024)
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
Facebook Page อ้างชื่อ Investment Authority of Aurora - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 26/08/2567)
Facebook Page อ้างชื่อ Investment Authority of HSH - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 02/08/2567)
Type of securities : Common share | Effective Date : 13/11/2015 | Close Selling Date : 25/11/2015
Reporting Person : - | Type of securities : - | Date of reporting obligation : 16/11/2017