before making decisions to invest in initial public offerings (IPO). SEC Deputy Secretary-General Prakid Punyashthiti said: ?Investors should study the information of any financial instument of their
Under SEC’s proposed disclosure requirements, funds that invest in leasehold rights of real estates or in future revenue sharing contracts of infrastructure projects (leasehold funds) are required to disclose this information to warn investors before they make investment decisions. For example, leasehold property funds (Type1), which are prohibited from investing in new assets, must give clear warnings at the end of the funds’ names. While REITs and infrastructure funds with remaining ag...
Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth Securities Company Limited, had made trading orders before informing the client who did not mak...
Bangkok, June 8, 2012 ? The SEC has received enquiries about details and conditions of subordinated debentures no.1/2012 to be issued by PTT Exploration and Production Plc. from investors obtaining advertisement from Kasikorn Bank Plc., as this issue of debentures contains more complex conditions than general debentures.In case where the debenture issuer exercises its right to early redemption and to defer interest, the debentures? rate of return will be lower than pre-determined interest rates;...
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the misconduct occurred. Following the inspection report of Globlex Securities Company Limited, the SEC further probed into the case and found that {A} convinced a client to trade securities and derivatives. He admitted that the client, at the beginning, had authorized him to make securities and derivat...
Bangkok, March 16, 2016 ? The Criminal Fining Committee has fined Pichet Boonyapakdee, a former executive of M-Link Asia Corporation Public Company Limited (MLINK), for making a statement that was
The Securities and Exchange Commission (SEC) participated in the seminar titled "Business and Human Rights: Creating Opportunities for Thai Companies to Grow Sustainably," as part of the Bangkok
The SEC has developed the web page “IPO Fact Figure” on the SEC website, which can be viewed at www.sec.or.th/IPOFactFigure, and has it officially launched on 25 December to facilitate investor access to the comparable, statistical information for their investment decision making.The web page “IPO Fact Figure” is especially designed to serve investor needs for IPO share statistical information, consisting of the following: 1. Statistical information of IPO shares, e.g., the first trading day, fi...