According to the findings of SEC inspection on the operation of SKFM whose main business is private fund management, in 2018 Mr. King, CEO and fund manager of the company at the time, acted in the following manners: (1) funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a continual basis from 2015 to 2017; (2) managing private funds without taking the cli...
including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and
, AIB Chair, on the occasion of their visit to discuss policies to promote foreign banks' roles in capital markets including the development of services for investors, at the SEC Office on 7 November 2023
Thai Financial Planners Association (TFPA). Mr. Wasin Wattanaworakijkul, President of TFPA, delivered opening remarks, welcoming over 200 participants, including Certified Financial Planners (CPF
from a year earlier, which can be summarized as follows: 1. Gross Profit including Other Income was up 23% Y-O-Y or Baht 41.0 million due primarily to higher sales and Gross Profit Margin from 31.2% in
worldwide including Thailand to prevent the spread of Covid-19 outbreak. And the negative impact of Covid -19 pandemic on the shipping industry were getting goods stranded, not capable of being shipped in and
pandemic on the goods deliveries including inbound and outbound shipments to customers getting stranded and delayed during this period. In addition, the delayed deliverables at several of L&E‘s completed
Baht 23.3 million, down 34% or Baht 11.8 million from a year earlier, which can be summarized as follows: - Gross Profit including Other Income were down Baht 20.4 million Y-O-Y due primarily to delays