Bangkok, February 1, 2013 ? The SEC, in cooperation with the Association of Thai Securities Companies (ASCO), has urged securities companies to strengthen their Know-Your-Customer/Customer Due Diligence (KYC/CDD) and credit line review practices, particularly for those clients who have traded securities under cash balance rule or inappropriately transferred their securities to raise credit limits. In addition, the SEC has recommended the ASCO to revise its KYC/CDD guidelines as well as propose t...
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...
emphasized active engagement of all sectors to make sure that the capital market will continue to serve the country’s important demands. This is the first time that an SEC strategic plan has given 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 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...
necessitates the seeking of fund to repay significant short-term liabilities. Therefore, the issuance of SABUY shares for the investment in LOCKBOX and LOCKVENT without immediate receipt of fund is unlikely
deployment strategies. All of this is in line with our imperatives towards becoming a world-class, well-diversified, growth-oriented global chemicals Company. Going forward, each of our segments necessitates