SEC considers revising the regulations on the offering for sale of investment in shares held by listed companies or their subsidiaries in order that the shareholding can be conveniently

The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies  because business structure in Thailand is characteristic of

subscription order of a client without contacting or giving advice to the client. She admitted having done so without providing details on the fund to the client. The SEC has therefore imposed a 40-day

market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from

Design and Manufacturing Co., Ltd. which has no relationship with the Company and is not a related party. General Characteristic of the transaction Enter into Contract to buy and sell of Land and Buildings

Characteristic of the transaction Enter into Contract to sell of Land and Buildings pricing as per condition total Baht 240,000,000. Size of Transaction Transaction size is 14.40% of total assets of the Company as

: CPN Retail Growth Leasehold REIT (“CPNREIT”) Relationship: The Company, a unitholder of CPNREIT, holds 26.7% of units. 3. The general characteristic of the transaction 1) Type of transaction: The

Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order

capital market transaction as prescribed in Clause 26. Clause 24 Any of the following cases is prohibited characteristic of Group 1: (1) being under receivership by the court order or being a bankrupt; (2

in order to oversee a juristic person or business over which one has the management power or operates under one’s supervision. The acts of the three persons stated above constitutes a failure to