violation of Sections 312 and 315 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). The above persons, named in the criminal complaint filed by the SEC, are deemed as having untrustworthy
. The SEC, therefore, suspended the approval of equity investment consultant of {A} for 2 months. Having considered that she had already been suspended by of Asia Wealth Securities Co., Ltd. for one month
investment decision making. The program approval suits the issuer making several offers for sale of debt securities in the proximate period and allows the issuer to make such offer when having financial need
which turned ESTAR from having approximately operating loss of 51 million baht to a net profit over 140 million baht in 2013. Such non-public information material to the change of ESTAR share price was
listed company has not yet disclosed non-public information material to the change of securities price, any directors having accessed to such information must refrain themselves from trading the company?s
other related rules. The draft amendment, having previously undergone a focus group consultation, aims to remove impractical procedures and enhance consistency of relevant provisions under the principle
person in charge of mutual funds? investment and might learn of the funds? investment information as well as those having duty to send trading orders. The business operator must seek the SEC approval for
assets are either shares of foreign company or investment units of exchange-traded fund (ETF) listed on major exchanges.Besides, those having interest in foreign securities investment should thoroughly
statements and conditions, having positive attitude towards listed company visit and encouraging the company to be aware of importance of information disclosure. TIA was also advised to set up efficient system