diligence concerning:1. Information on counterparty that may have relationship with issuing company. As such counterparty was being under criminal proceedings by public authority, the result may impact the
voting guidelines. Vorrapol Socatiyanurak, Secretary-General of the Securities and Exchange Commission, Thailand (SEC) said that ?The institutional investors? attempt to set precedence in exercising
Bangkok, March 19, 2014 - The SEC revealed that the Settlement Committee imposed a total fine of 11,962,385.44 baht on (1) {A} (2) {B} (3) {C} (4) {D} (5) {E} (6) {F} (7) {G} (8) {H} (9) {I} (10) {J
, regardless of the fact that he sold the entire purchased amount already.Following the SEC?s instruction for Bee to provide clarification with prompt rectification on the tender offer price for EIC?s shares as
Eng Securities (Thailand) Plc. that {A} had been authorized by two clients to make securities trading decisions on their behalf. Before this matter was reported to the company, {A} had told her branch
exploiting client?s assets for personal interest. Following Thanachart's report, the SEC probed into the case and found that {A} traded high volume of securities in the client's account without permission for
general public to continuously seek more financial knowledge and planning. Thus, it has created a tool that can react to lifestyles of the new, mobile generation and developed content and easy-to-use
Bangkok, September 13, 2013 ? The SEC revealed that the Settlement Committee imposed a total fine of 1,652,516.19 baht on Swake Srisuchart for using inside information to purchase Power Line
the report from Asia Plus Securities Plc., the SEC probed into the case and found that {A} had been authorized by her client to make derivatives trading decisions on the client' behalf. The client was