In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
Given the prolonged period of low interest rate in the Thai bond market, many debt securities issuers are increasingly issuing for sale subordinated perpetual bonds which have more complex
not submitting the latest annual financial statements within the specified period, the SEC will calculate the annual fee based on the shareholders’ equity presented in the previous annual financial
Market Business Personnel dated 3 June 2014, and the prohibited characteristics of the capital market business personnel in Group 3 under Clause 31(1) of the said Act.Since the approval period for
for his remaining approved status. The rest of suspension period was instead set as the period for acceptance of his re-application for approval as capital market personnel. The SEC's order has been in
during the period of 90 days prior to the submission date of the tender offer.Earlier, the offerors had acquired EARTH shares by swapping shares of Energy Perfect Co., Ltd. (EPCL). Thus, under the takeover
application for approval as capital market personnel for the period of five years, effective from July 17, 2013. Importantly, using client accounts for the benefit of themselves or others is considered as the
rules will not affect listed company?s private placement deals at market price during the offering period as defined under the rules. For the discounted private placement or the placement at the price
(CIG-W1) in 2010 for other persons? benefits. This caused BLISS to have 17.4 million baht loss from such investment in CIG-W1 during the period that CIG-W1 had high cost and almost expired and eventually