Limited (BSEC) based on nonpublic information he had known by virtue of his working positions. Following a referral from the Stock Exchange of Thailand (SET), the SEC?s further investigation has revealed
information he had obtained by virtue of his positions to sell SLC shares and for imparting a false statement with the intention to mislead any person concerning facts sensitive to the SLC share price
Secretary-General said that ?Besides performances, investors nowadays have shifted their investment attitudes towards sustainability of the companies. Thus, the SEC has underlined and pushed for sustainable
mutual fund. Such factors include emotion, personal belief and attitudes toward different channels of savings and investment. For example, some investors prefer low risk, principal guaranteed investment
Commission No. KorThor. 66/2547 Re: Maintenance of Financial Positions of Person Licensed as Derivatives Agent dated 22 December 2004 as amended by the Notification of the Securities and Exchange Commission No
Notification of the Securities and Exchange Commission No. KorThor. 66/2547 Re: Maintenance of Financial Positions of Person Licensed as Derivatives Agent dated 22 December 2004 as amended by the Notification of
from holding the director and executive positions at any securities issuing company and listed company. According to the referral from the Stock Exchange of Thailand (SET) and the SEC's further
, effective on 2 December 2016. He has invalidated his existing positions as director or executive of listed company (if any), and prohibited his future holding of such positions until such period ends