SEC Secretary-General Ruenvadee Suwanmongkol said that the ongoing spread of COVID-19 is affecting some securities companies and derivatives business operators to the point that it is necessary to
standard qualifications of salespersons. On the sales process side, the aim will be to prevent mis-selling or inappropriate selling of financial products to investors at the pre-sales, point of sales, as
a starting point for mapping out a personal financial plan before taking the next steps toward informed and educated investment decisions,? said SEC Secretary-General Rapee Sucharitakul. The SEC Open
trigger fund rules require that intermidiaries disclose clear information with regard to commission fees, product features and risk warnings. For example, the information that the trigger point is not a
Siwasit jointly acquired NMG shares at approximately the same period of time in an attempt to take over NMG business. The three parties’ combined acquisitions exceeded any 5 percent trigger point and
percent trigger point and eventually the 25 percent trigger for a mandatory tender offer of the total NMG shares sold. In so doing, they failed to report their acquisitions, and did not make the tender
Mr. Khanist Srivajiraprabha An offence of Nex Point Public Company Limited ("NEX") for disclosing information by concealing material facts that should be stated, in accordance with Section
investment in a medium-sized booth of the painting segment to support new orders during the late of year, the expansion of the building and warehouse at Chonburi branch to support business expansion and to
deduct unnecessary expenses. However, some administrative expenses are unavoidable and much incurred to support the Group’s business operation and require to support the business expansion into related