, officer or employee of that exchange or center; (6) extends scope of prohibitions against unfair practices to cover trading of securities in all trading platforms or venues. The consultant paper
(SEA). The SEC will later work on details of regulations.2. LBDU licensees that submit orders for investment unit trading through members of the Stock Exchange of Thailand (SET) must comply with net
/Documents/AnnualReport/pb_ar_2001.pdf Translation of the Securities and Exchange Commission No. SorNor. 5/2550 Re: Establishment of a Branch Office and Serving Customers by an Asset Management Company outside
being registered with the https://www.sec.or.th/EN/Documents/AnnualReport/pb_ar_2001.pdf Translation of the Securities and Exchange Commission No. SorNor. 5/2550 Re: Establishment of a Branch Office and
Bangkok, June 28, 2016 ? The Criminal Fining Committee has imposed fines on nine manipulators of the price and trading volume of The Union Mosaic Industry Public Company Limited (UMI) shares, with
Securities and Exchange Act B.E. 2535 (1992). The clarity of the terms would not only be useful for business operators and all parties involved but also boost investors’ confidence in trading activities
securities company as an investment consultant), jointly manipulated the TAPAC share price by executing trading orders of such share in such a manner that stimulated the share's movements, and arranging low
} and an unknown person, for manipulating share price of Union Petrochemical Plc. (UKEM).With the referral from the Stock Exchange of Thailand on irregular trading in UKEM shares by a group of persons
Mr. Anek Yooyuen, Deputy Secretary-General and Spokesperson of the Securities and Exchange Commission (SEC), led a monthly media briefing to provide updates on the SEC significant operational
The Securities and Exchange Commission (SEC), led by Secretary-General Pornanong Budsaratragoon, along with SEC executives, held a joint meeting with the Custodian Club, led by President Utumporn