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
Rules, Conditions and Procedures for Investing in and Seeking of Benefits for Long Term Equity Fund
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
Re: Allocation of Cash Flow under Securitization Program and Reporting on Transfer of the Remaining Assets and Benefits of Special Purpose Vehicles
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
. Ekkamon Chuntori and gained benefits from such transactions. The purchases were made in such a way that taking advantage of others by using non-public information material to GLOBAL share price concerning
”) through his securities trading account and clearing such transactions for Mr. Surasak’s benefits in such a way that taking advantage of others by using non-public information material to GLOBAL share price