-account of a Thai intermediary’s omnibus account only. Moreover, investors may also transfer their investment portfolio from one Thai business operator to another Thai business operator and may transfer
example, not putting the assets of private fund clients in custody of depository, allocating IPO shares to private fund clients only while allocating none to mutual funds under the company’s management
, filed the criminal complaint against Mr. Suphan Sethapanich for this offense at the same time. In addition, the criminal complaint by the SEC is only the starting point of the criminal law enforcement
regulations to remain only those necessary and consistent with current situations. These efforts aim to strengthen business sectors’ competitiveness, and reduce operating costs of private sectors and burdens
aims to standardize the SEC regulations in line with the changing situations to ensure that only necessary regulations are issued and enforcement is effective. In any case, appropriate investor
. He also claimed that the share issuer would increase capital shares and be allowed to resume trading on the Stock Exchange of Thailand. The client was interested in such deal but only had money for
failed to notify the SET on the same day as required and only did so 35 days later.In addition, when the company submitted a request for withdrawal of the rehabilitation petition on 7 July 2017 ? the
statements or nature of business opreation woud be subject to cash balance trading, symbolized by te ?C? sign.Investors are advised not only to keep abreast of the important information disclosed by listed
big loss of money. In making an investment through a securities company, investors must transfer the subscription money to the securities company’s account only. In case of suspicion of trading
. _____________________Remark: the hearing documents (in Thai language only) are available at https://capital.sec.or.th/webapp/phs/upload/phs1552469161hearing-13-2562.pdf