eliminating obstacles for issuing companies while maintaining proper protection and fairness in allotment of securities for investors. Also, rules on prevention of conflict of interest arising from securities
, nevertheless, make an opt-in request to do the suitability test for evaluation of their portfolio investments and transactions. The revised regulations will be effective as from April 1, 2014 (for details of the
(Type 1), For instance, (1) Permitting investment in all kinds of real estate with an aim to seek returns from rental income for unitholders, given that such rental income may not be generated from an
securities businesses of brokerage, investment advisory and private fund management by advertising, soliciting and using website http://www.qg-corp.com. The said actions were subject to an imprisonment from 2
accounts. Those orders were submitted without sources and {ก} admitted that he took trading orders via mobile phone. In addition, he received the trading orders from one client for another client's
333,333.33 baht for aiding and abetting in the aforesaid insider trading. According to a referral from the Stock Exchange of Thailand (SET) and the SEC?s own investigation, the aforesaid individuals from (1
listed company requires different identification documents from the shareholders at the AGM, especially those who are foreign juristic persons. For example, some companies may require a certificate from a
? behaviors before designing product and service policies that would better respond to the investing public?s demands.FinTech Forum will take place on 15 June 2016 from 9.00 ? 12.00 hours at Auditorium 1601
information disclosure on MD&A of Thai listed companies still has room for improvement. The SEC has therefore planned to study overseas rules and practices, gather information from the industry including
named in the complaint as aiders and abettors.With a referral from the Stock Exchange of Thailand (SET) concerning trading behaviors of some investors involving suspected collusion with personnel of asset