Facebook page "Complete Coffee Business Amz." : Unlicensed securities and derivatives business (Disclosure Date : 17/11/2025)
Bangkok, August 9, 2012 ? The SEC defines trust as securities issuer under the Securities and Exchange Act of 1992 in order to form clearer scope of duties and responsibilities of trust, trustee and other parties related to the transaction. When applying to Real Estate Investment Trusts (REITs), the regulations will make clear that REIT manager is responsible for disclosure of information on REITs? financial status and operational result.? Besides, the SEC allows type 1 property fund to borrow f...
Bangkok, January 6, 2011 ? The SEC today announced that the tender offer for securities acquisition of Energy Earth Public Company Limitd (EARTH) (former name: Advance Paint and Chemical (Thailand) Public Limited Company) via Form 247-4 on December 23, 2010 had failed to comply with the provisions on tender offer price under the takeover rules. The offerors ? (1) Phisudhi Phihakendr, (2) Phiroon Phihakendr, (3) Phipat Phihakendr, (4) Phiboon Phihakendr, (5) Voranut Phihakendr and (6) Khajohnpong...
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,...
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
Bangkok, January 14, 2013 ? The SEC revealed four key strategies, highlighting six initiatives to be launched in 2013. Its strategic direction includes: reaching out in response to the needs of
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investing funds (SRI Funds); (2) the list of ESG bonds and SRI Funds, complete with basic information, such as types of bonds, total offering value, rate of returns, and credit rankings; or, in the case of
such documents and information in order that the shareholders will receive information with complete details, sufficient for the vote casting. Furthermore, with respect to the Investment in KPN Academy