investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
lodged by client and examination report of RHB OSK Securities, the SEC further probed into the case and found that {A} traded securities on behalf of a client of {B}. {B} was a {A}'s subordinate and took
material and likely to affect the client's benefits.Following the complaint lodged by client and examination report of Bangkok Bank Plc., the SEC further probed into the case and found that the client
trading orders, trading securities on behalf of client and making trading decisions for benefit of client without the client?s orders.Following a complaint against {A} lodged by a client of KGI Securities
duties with honesty by disguising that trading decisions were made by client; and seeking benefits during performance of duties. Following the complaint lodged by client of KT ZIMICO Securities Company
The allegation is a consequence of various complaints lodged in relation to the increased debt of THB 26,000 million following EARTH’s submission of the financial statement for the first quarter
to prepare sales report for the sale of units of foreign EFT offered in Thailand (as the case may be). This report shall be lodged with the SEC Thailand within 45 days after the last official day
lodged with the SEC Thailand within 45 days after the last official day of the year that such solicitations occurred. * Please note that CIS Operator who is offering foreign ETF in Thailand will have to
/ public holidays in Home Jurisdiction). In addition, the CIS Operator is required to prepare sales report for the sale of units of the ARFP Passport Fund offered in Thailand. This report shall be lodged