Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...
holding other company?s stocks ("holding company"). The amended regulations specify that holding company must hold shares in its subsidiaries that are categorized as its core business (either established in
Bangkok, March 25, 2013 ? The SEC is seeking public comment on proposed regulatory revision governing preparation of financial statements of holding company applying to offer for sale of newly
?Bangkok, March 25, 2013 ? The SEC is seeking public comment on proposed regulatory revision governing preparation of financial statements of holding company applying to offer for sale of newly
Offeror : OSK Investment Bank Berhad | Date of submission of the Statement of Intention : 02/08/2011
Offeror : OSK Investment Bank Berhad | Date of submission of the Statement of Intention : 23/08/2011
Offeror : RHB Capital Berhad | Date of submission of the Statement of Intention : 16/11/2012
Offeror : RHB Capital Berhad | Date of submission of the Statement of Intention : 30/11/2012
Offeror : RHB INVESTMENT BANK BERHAD | Date of submission of the Statement of Intention : 19/07/2013
Offeror : RHB INVESTMENT BANK BERHAD | Date of submission of the Statement of Intention : 15/08/2013