According to the findings of SEC inspection on the operation of SKFM whose main business is private fund management, in 2018 Mr. King, CEO and fund manager of the company at the time, acted in the following manners: (1) funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a continual basis from 2015 to 2017; (2) managing private funds without taking the cli...
Rules on Application for Obtaining Approval and Granting to Perform Trust Business
equally stringent regulations as those applied to IPOs; (3) Revising regulations on investor alerts and delisting of the securities in which companies displaying inappropriate behaviors; and (4) Revising
") Volunteers Foundation Network of Communities for Disaster Alerts and Warnings Project. The aim is to actively assist communities in sustainable water management and enhance the efficiency of disaster
. Furthermore, the SEC has implemented preventive measures against investment scams from the start, such as issuing alerts and educating the public about investment scam tricks and collaborating with relevant
creation and dissemination of investment scam alerts via various channels of the SEC and news media outlets. The SEC receives support from both public and private sectors to effectively communicate these
securities businesses, dissemination of standard reference prices, acting as bond information center for both the primary and secondary markets, as well as posting news and investor alerts promptly. Moreover
appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.
DAOL SECURITIES (THAILAND) PUBLIC COMPANY LIMITED Dao Securities (Thailand) Public Company Limited (“DAOLS”), in its capacity as the bondholders’ representative, failed to perform its duties with the