Signatory A of IOSCO MMOU concerning Consultation and Cooperation and the Exchange of Information, (3) CIS operator must appoint licensed securities broker as selling agent and (4) selling agent must comply

operator must appoint licensed securities broker as selling agent and (4) selling agent must comply with specified criteria including distribution of offering circular (fact sheet) prepared in Thai. The

Securities Commissions (IOSCO). Foreign ETFs must also appoint a local representative to be a contact point providing information to the SEC, the SET and local investors. Allowing Thai investors to invest in

Information. In addition, CIS portfolio investment must be comparable to that of mutual fund and CIS operator must appoint contact person in Thailand.Moving towards the age of borderless markets under ASEAN

(13) Mr.  Nattapon Chalermpot – all appeared to have relationships with one another – had engaged in trading activities of FVC stocks, exhibiting a pattern of trading in mutual awareness or agreement

price and/or trading volumes of COMAN stocks during 24 May – 18 June 2021. Their activities included driving the COMAN stock price upward and matching large-volume trading orders within the group

. Ms. Ruenvadee Suwanmongkol, SEC Secretary-General, said “Currently, there is a trend that the new generations are interested in investing in capital market products including stocks, mutual funds and

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

trading orders or trading MBAX’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities

stocks by the reporter, triggering a tender offer. Last updated on 31 March 2022