Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company, claiming that such company was in the listing process of the Stock Exchange of Thailand (SET), when
Ref.No.IVL002/07/2018 19th July 2018 President The Stock Exchange of Thailand Subject: Acquisition of Packaging Business in Egypt Indorama Ventures Public Company Limited (“IVL” or the “Company”) would like to
-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital
Search The Securities and Exchange Commission, Thailand About Us Our Roles Our Structure SEC Board Capital Market Supervisory Board SEC Executives Organization Chart
, 2013.With a referral on the {A} case from the Stock Exchange of Thailand, the SEC probed into the case and found that {A}, then Senior Vice President Retail Sales 1 of Siam City Securities Co., Ltd., had
to the Stock Exchange of Thailand and the SEC Office on May 16 and 17 2016, respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The
Stock Exchange of Thailand (“SET”) within 18 March 2024. However, PICO submitted the financial statement for Q1 year 2024 to the SET on 1 April 2024. later than the period specified in the notification