Bangkok, February 19, 2013 ? The SEC has reiterated securities companies to instruct investment consultants to give securities trading advice based primarily on fundamental factors of securities, particularly during the current escalating trading of securities with a high P/E ratio and under cash balance rule. SEC Secretary-General Vorapol Socatiyanurak said: ?The SEC has urged securities companies to carefully supervise their investment consultants to provide investment advice to their clients...
Bangkok, March 27, 2013 ? The SEC has reiterated securities companies to instruct investment consultants to give securities trading advice based primarily on fundamental factors of securities, particularly during the current escalating trading of securities with a high P/E ratio and under cash balance rule. SEC Secretary-General Vorapol Socatiyanurak said: ?The SEC has urged securities companies to carefully supervise their investment consultants to provide investment advice to their clients bas...
SEC Public Service Center has been receiving many inquiries and information about public solicitation for investment in shares of PB. Smart Farmer Plc. Such solicitation contains information leading the public to believe that the said company is: (1) a social enterprise thus allowed to make a public offering without the requirement to obtain approval or file a registration statement with SEC, and (2) an SME or a startup thus allowed to raise fund in both the primary and secondary markets a...
SEC Public Service Center has been receiving many inquiries and information about public solicitation for investment in shares of PB. Smart Farmer Plc. Such solicitation contains information leading the public to believe that the said company is: (1) a social enterprise thus allowed to make a public offering without the requirement to obtain approval or file a registration statement with SEC, and (2) an SME or a startup thus allowed to raise fund in both the primary and secondary markets as well...
Bangkok, 2 October 2017 ? The SEC has ordered Pace Development Corporation Public Company Limited (PACE) to clarify the information regarding the company's joint venture agreement with three investors, which incurs an obligation for PACE to repurchase a certain amount of its preferred stocks from the counterparties. The clarification must inform whether there will be any effect on the company's liabilities or other obligations. PACE must also disclose the clarification through the Stock Exchange...
development of new products with more complexity which requires additional criteria; for instance, structure of return on investment and warning of complex features and significant specific risks associated
state departments regarding the process of law enforcement. SEC has signed in various MOUs between relevant state departments. However, the operation requires more than a mere close cooperation, it also
on 16 April 2025. Additionally, all short selling transactions must comply with the Uptick Rule, which requires short selling prices to exceed the latest trading price. This requirement will remain in
informed to the Audit Committee and the auditor to explain the facts and related actions regarding this issue. SEC requires the actions of the Audit Committee to ensure that SPRC has measures to improve
Bangkok, May 26, 2014 ? The SEC requires an application and information disclosure for offshore offering of convertible debentures (CD) be jointly prepared by CD issuer and SEC-approved financial