Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to investors correctly and completely and without sufficiently notifying or giving information that was import...

orders as well as incompletely prepared such documents as determined by the company.  Thus, the SEC publicly disclosed her inappropriate behavior and recorded such behavior for future reference if breach

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the SEC Office and the SET on March 27, 2015 and March 30, 2015 respectively. The annual registration statement incompletely disclosed the information on Management Discussion and Analysis: MD&A and

they incompletely recorded client's securities or derivatives trading orders due to their receipt of such orders via mobile phone. The SEC therefore publicly diclosed their inappropriate behavior and

of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the

of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the

Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or

Baht 31.1 million Y-O-Y due primarily to lower sales delayed to 2nd half year of 2019, and a cost adjustment for employee benefits amount Baht 6.3 million (partially out of the said provision Baht 23.7

issuance and allocation would be more market-driven, and REIT would be allowed to invest in real estate overseas and partially take part in the development of the property as well as apply for more loans