Bangkok, April 24, 2014 ? The SEC urged investors to make prudent investment decision concerning information on fund establishment and forward-looking on profits of listed firms.Chalee
The SEC made amendments to the regulations governing the reporting of the IPO shares results, aiming to enhance investor access into critical information and be useful for investors’ decision-making
SEC Assistant Secretary-General Kumpol Sontanarat said that SEC has recently provided additional service for the capital market. The open data database contain 10-year historical records of fund raising activities both in equity and debt securities including the details of the fund mobilizers by industry, companies and individual instruments.SEC has been continuously developing the open data service in many forms which can be accessed via SEC website. The data can be downloaded through SEC...
Under SEC’s proposed disclosure requirements, funds that invest in leasehold rights of real estates or in future revenue sharing contracts of infrastructure projects (leasehold funds) are required to disclose this information to warn investors before they make investment decisions. For example, leasehold property funds (Type1), which are prohibited from investing in new assets, must give clear warnings at the end of the funds’ names. While REITs and infrastructure funds with remaining ag...
Bangkok, June 8, 2012 ? The SEC has received enquiries about details and conditions of subordinated debentures no.1/2012 to be issued by PTT Exploration and Production Plc. from investors obtaining advertisement from Kasikorn Bank Plc., as this issue of debentures contains more complex conditions than general debentures.In case where the debenture issuer exercises its right to early redemption and to defer interest, the debentures? rate of return will be lower than pre-determined interest rates;...
resulted from AM?s increased financial cost. Risk from conflict of interest must also be observed as AM will become GJS indirect major shareholder and will have conflict of interest in decision making on
operators, DEMCO will face limitation in term of minority protection. IFA indicates that prior to making their decision, DEMCO shareholders should, with due care, take into account and compare benefit to
others and clearly state their own decision on each agenda item in the proxy form to protect their own?s interest
Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the misconduct occurred. Following the inspection report of Globlex Securities Company Limited, the SEC further probed into the case and found that {A} convinced a client to trade securities and derivatives. He admitted that the client, at the beginning, had authorized him to make securities and derivat...