Bangkok, 27 July 2017 ? The SEC has refused to grant Energy Earth Public Company Limited (EARTH) an extended deadline for submitting the special audit report which was due on 24 July 2017, and urged the company to expedite the submission to the SEC and the disclosure through the SET Electronic Information System. Meanwhile, EARTH executives are subject to investigation regarding their duty performance. Earlier, the SEC had instructed EARTH to arrange a special audit on the advanced payments for...
The SEC monitors and observes events and exhibitions featuring booth setups related to investment advice and service solicitation. Recently, the SEC has been alerted by the public and relevant stakeholders regarding suspicious activities involving unlicensed securities companies, derivatives business operators, and digital asset business operators, including such business operators from abroad. These entities allegedly solicited the public to invest or use their services at their booths during a...
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual (No. 2)
, for the purpose of listing my name onto the Issuing Company’s Director and Executive Database of the company, to inspect my personal information relevant to consideration of the SEC Office and to
;s system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
system. The exemption provides tax equalization, eases burden and attracts individual?s investment, which will facilitate investment in listed ASEAN securities through SET trading system and thus
, regardless of the usage of advice from the investment advisory company, and that a general advice is given regardless of the specific characteristic of an individual, therefore, prior to adopt an advice, the
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages