SEC has received a tip from an investor that a Facebook account named “Japhoon” (meaning Catching Stocks) may operate business without obtaining a license from SEC. After further investigation of
: investglobalmanagement.com show messages soliciting foreigners in Thailand to invest in securities such as stocks, mutual funds and structured notes on a trading platform, and the investors who use the service are subject to
holding other company?s stocks ("holding company"). The amended regulations specify that holding company must hold shares in its subsidiaries that are categorized as its core business (either established in
study on asset allocation for retirement savings in a group of working age investors. The allocation was made among common stocks, bonds, bank deposit and gold in appropriate mix adjustable through life
) on 20 December 2019 between 10.05.35 a.m. and 11.56.02 a.m. by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting
orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading
offer for sale of securities or an issuer of underlying shares of underwritten securities, including a person holding a position whose authority is similar to that of such person; (6) “offering closing
an issuer of underlying shares of underwritten securities, including a person holding a position whose authority is similar to that of such person; (6) “offering closing date” means the day on which an
) “offering closing date” means the day on which an offer for sale of securities is closed for a securities underwriter in general cases; (7) “date of providing over allotment shares in full” means the day on
an offer for sale of securities or an issuer of underlying shares of underwritten securities, including a person holding a position whose authority is similar to such person; (6) “offering closing date