securities trading decisions on behalf of the client. She then continuously made trading decision on behalf of the client for more than three months in high value and volume trades. {A}'s action was deemed as
explanation from the company directors in order to make a prudent decision on their voting. The SEC requires that any material acquisition and disposal of assets subject to the shareholders? approval must have
investors? decision making. The SEC therefore instructed CHEWA and RHB to clarify the information given in the interview and include it along with sufficient details in the IPO filing for the benefit of
successful performance of any trigger fund may proceed only after accurate and complete information on all of the trigger funds under management is clearly disclosed for investors? comparison and decision
knowledge and understanding in capital market products and services before making investment decision. Those questions include ?What are the risks and rewards of the investment??; ?What kinds of investors are
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
for investment decision making. SEC Secretary-General Vorapol Socatiyanurak said the SEC in collaboration with the Association of Thai Securities Companies (ASCO) urges each securities house to conduct
profit are the followings: 1. Underwriting expense has risen by THB 78.74 million (19.83 %). However, this follows an increase in gross premiums written (sales) of THB 116.18 million (25.6%). Whereas sales
distribution to boost the ratio of regular income and match the needs of the customers who would like to have a home but have not made a decision to buy one. The emphasis has been put on university students