from an investor who is not a client of RHB and the SEC’s further investigation into the case, it was found that during June 2020 – May 2022, Phisit had solicited investors to open securities trading

management and limited brokerage, dealing and underwriting of investment units (LBDU) In revising the annual fee scheme, the SEC has taken into consideration intermediaries? existing cost factor and potential

9, 2006 - January 25, 2007. The SEC probed into the case and found that Krit aided and abetted manipulation of ASCON share price by allowing the accounts for securities trading and bank deposit to be

shares from January 9, 2006 to January 25, 2007, the SEC probed into the case and found that Pattanapong had traded ASCON shares through trading accounts of five other persons in the manner that boosting

Bangkok, July 23, 2014 ? The SEC will put into effect regulations on depositary receipts (DRs) by the third quarter of this year to provide investors with more investment alternatives.  Vorapol

. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business

price; 2) exercise of due care by listed companies? board of directors in giving information and opinions; and 3) the SEC?s approval prior to the placement. At this juncture, the SEC has taken into

cloud computing to offer services.? The amendment to the governing regulations has taken into consideration the comments and suggestions received from the first public hearing in February this year.The

the risk calculation, and (3) updating of the net liquid capital calculation methods to be more flexible and suitable to the current market trends. This latest draft amendment has already taken into

draft, taking into account comments from public hearing on proposed principles early this year, covers prevention on use of inside information, transactions with related persons for the benefit of clients