effects of COVID-19 on the company. This information could be disclosed via different channels, including financial statements, in order that investors will be informed of important information for
On 12 March 2020, the CMSB Meeting No. 4/2563, presided by SEC Secretary-General Ruenvadee Suwanmongkol, considered possible guidelines for the AGM holding of property funds, infrastructure funds
therefore imposed the following sanctions: (1) Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15
Bangkok, 19 March 2020 – According to the Cabinet’s resolution on 17 March 2020, approving the postponement of the public holidays during 13 -15 April 2020 to prevent and contain the spread of the novel Coronavirus (COVID-19) in the country, SEC has considered appropriate to revise the holidays of securities companies and derivatives business operators and, therefore, announced the cancellation of the holidays during the above mentioned period. The substitution holiday(s) will be announce...
the group of persons above in opening trading accounts for investors to make derivatives investments. They executed trading orders in investors’ accounts, told investors to send trading orders
Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly wit...
caused damage to {X1}.In this regard, the four persons jointly arranged for {X1} to buy a land and a seven-storey office building to be used as {X1} new office at the price of 60 million baht from {C
sufficient and complete information, as well as continuously providing knowledge and understanding on investment in bonds to the public.Moreover, SEC has established a mechanism for the investors to be able
. Daniele Berna-Ost - CSSF Secretary-General and team. Both parties achieved an agreement to arrange a cooperative framework on fintech for exchange of information involving major developments and issues on
investors in the bond market.” SEC Bond Check Version 2 allows investors and the interested public to search for a wider range of information and details using advanced functions. For example, users can