implementing measures for ensuring fair and transparent trading in the stock market. Efforts are also underway to improve reporting requirements for executives of listed companies regarding the use of shares as
transition of a digital capital market, (3) Review market microstructure to align with trading behaviors and ensure fairness across investor types, and (4) Facilitate foreign investors’ more convenient use of
world. SEC thus promotes application of ESG principles in the Thai capital market in all aspects, from the areas of products, issuers, investors and the preparation for readiness of intermediaries* as
At present, money market funds are used by investors as a tool to manage liquidity and a place to park money for a short time, besides keeping it in banking accounts. As of February 2018, the size of
SEC has issued the rules permitting the derivatives business operators or derivatives agent to carry out capital market product trading service in accordance with the Portfolio Advisory and Program
Teratanavat, (3) Mr. Vijchu Chantatab, and (4) Mrs. Shanya Pengpunpat had collusively manipulated share price and/or trading volume of the Market for Alternative Investment (mai)-listed TIGER between 24-29
create artificial prices or trading volumes for ECF shares, with the intent to distort the price or trading volume from normal market conditions. In this regard, (17) Mr. Suppharoek Kwaennoi assisted or
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of