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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
SEC is proposing to amend the regulations on unitholding limitations of mutual funds. Proposed amendments include, for example, changing the methods of unitholding calculation and allowing mutual
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
reasonableness of the capital increase, project feasibility, and cost-effectiveness of the investment due to limitations on information disclosure under a confidentiality agreement related to investment. For
Re: Allocation of Cash Flow under Securitization Program and Reporting on Transfer of the Remaining Assets and Benefits of Special Purpose Vehicles