Bangkok, June 25, 2015 - The SEC suspended {A}, a former capital market investment consultant of Phillip Securities (Thailand) Public Co., Ltd., for making trading decision on client's behalf and
Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board recently resolved to approve additional type of mutual fund selling agents which must: (1) be state enterprise which is non
his dividend payment unless his securities were transferred to another person?s account. She then transferred the client?s five stocks worth 5 million baht at the time into her own account and three
illustrating making trading decision before client acknowledgement. The client then acknowledged the transactions without any objection and made payment completely. {A}'s actions were deemed using client
payment as ordered by the Settlement Committee. {A}'s acts were deemed as using client trading accounts to trade securities for herself and being the accomplice in share price manipulation scheme, in
Building Confidence in the Capital Market No. 22/2018 SEC instructs EARTH to clarify the existence and the fair value of mining property rights Bangkok, 16 March 2018 – The SEC has instructed Energy
received must not be lower than investment grade; (2) To appoint a bondholders’ representative; (3) Bonds must be registered with the Thai Bond Market Association.In addition, SEC also amends the scope
Bangkok, June 3, 2016 ? The SEC has revoked approval of an equity investment consultant named Veerachai Pasutanon and a capital market investment consultant named Jakkrit Hongnakorn, for committing
a representative of main operators said “The DIF Web Portal launched today is a digitalized service system for bond offerings in the primary market, from issuance, filing, subscription, payment and
cause the price or the volume of such securities trading to be inconsistent with the normal market condition and caused damages to other investors. 15/12/2020 The Civil Court delivered the Appeal Court