from KKTRADE Securities Company Limited, the SEC probed into {A}' s case and found that she had been authorized by her client to make securities trading decisions on the client?s behalf for a period of
out derivatives positions before reaching expiry dates and open new positions of next trading series. The client also allowed her to make trading decision; however, did not clearly specify details of
client.Following the report of DBS Vickers Securities (Thailand) Company Ltd., and a client complaint, the SEC probed into {A}'s case and found that she had been authorized by her client to make securities trading
comparison indicating maximum, minimum and average returns among mutual funds in the same category and will thus serve as useful information for making investment decision. The proposed rules classify mutual
proportion will be set to suit each type of funds. Asset management companies must make a cautious investment decision and conduct due diligence. In addition, information disclosure of instruments, risks
Sucharitakul, the SEC?s Secretary-General, revealed that the Capital Market Supervisory Board approved the revision of regulations to facilitate debt securities offerings. An approval of two year program will be
Bangkok, May 22, 2015 ? The SEC did not grant Thai Industrial & Engineering Service Plc. (TIES) a waiver for postponement of submission of the company?s rectified and audited 2014 financial
underwriter to issue 4 consecutive quarterly research papers after the initial public offerings process to provide the public adequate and ongoing information for investment decision making. The SEC is seeking
of sufficient disclosure to support shareholders? decision making. There would be no changes to the key principles or the obligations in relation to tender offer.The whitewash resolution amendment
. (WHA) would rise or fall, and such information had not been disclosed to the Stock Exchange of Thailand (SET).Following a referral from the SET and the SEC?s further inspection, it was found that Somyos