The initiative forms part of the SEC’s policy efforts to strengthen the capital market as a viable source of funding and an important mechanism for supporting small and medium-sized enterprises (SMEs). In this regard, the SEC has considered introducing PP regulations governing the offering of newly issued shares and CDs by LiVEx-listed companies. The proposed regulatory framework is intended to facilitate fundraising activities by providing appropriate regulatory flexibility, while continuing to...
Earlier, the Civil Sanction Committee (CSC) resolved to impose civil sanctions on JKN in a case relating to publishing false or misleading information about JKN, requiring payment totalling 2,062,039 baht (comprising a civil penalty and a reimbursement of investigative expenses incurred by the SEC).In this regard, JKN agreed to comply with the civil sanctions imposed by the CSC by signing a letter of consent. However, the company failed to fully make the required payment accordingly. The S...
solicits and advertises CoinEx’s services to customers in Thailand. Mr. Puttipong Nijaroen, claiming that he is a partner of CoinEx Thailand, performed a guest speaker at Thailand Crypto Expo 2022 exhibited
% transaction fee to solicits and advertises CoinEx’s services to customers in Thailand. Mr. Puttipong Nijaroen, claiming that he is a partner of CoinEx Thailand, performed a guest speaker at Thailand Crypto Expo
separate note, the SEC has received a tip that a foreign company incorporated on the British Virgin Island solicits foreign investors in Thailand to invest in the High Performance Development Limited (HDPL
derivatives agent” means the person who contacts, solicits or gives advices regarding trading in derivatives or analysis of value or properness of trading in derivatives products or underlying products for
person who contacts, solicits or gives advices regarding trading in derivatives or analysis of value or properness of trading in derivatives products or underlying products for derivatives and publicly
investors, solicits investors, or provides advice to investors or sets plans for investors with respect to trading of or investment in securities. Clause 3 A prospectus shall contain correct, complete, and
specified in the notice of the shareholders’ meeting the seeks approval for the issuance and offering of new shares that is not in accordance with rules, conditions and procedures as specified in the