. Selling agent must comply with specified criteria, for example, selling agent must examine investor?s characteristics before offering for sale of the product to ensure that the offer has been made to
investigation and found that Ravi had taken advantage of the information on SPORT's operating results for the third quarter of 2015. The information became known to him by virtue of his position as the company's
issuance, related receipt and payment transactions, and the accounting records.The order was issued after KC announced via the SET Electronic Information System on 29 December 2016 that the company's Board
Bangkok, March 3, 2011- SEC Secretary-General Thirachai Phuvanatnaranubala emphasized that sustainable capital market development requires strong investor base. Nonetheless, most of the Thais are not
includes units of property fund and instruments with commodities as underlying, providing further that the aggregated investment in the said assets shall not exceed 15 percent of the fund?s NAV; (5
Chantanayingyong, SEC Deputy Secretary-General said that ?Previously, expected timing of the SEC approval for securities offering or fund establishment as well as projected profits of listed companies resulted from
raise awareness among employers, both in public and private sectors.In designing the Project, the SEC worked with the Thai Listed Companies Association and agreed that promotion of financial literacy in
information on revenues from advisory services for related persons, even though certain information indicated that the revenue may not exist. Such revenue, if not exist, will bring down the company's recorded
., the fact that {A}, an executive director and a senior executive of the company as well as a financial advisor supervisor approved by the SEC, had serious performance deficiency indicated that the
probed into the case and found conversation in the LINE Application that {A} traded securities for herself through the client's securities trading account. During a certain period of time, she made a