Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the
SEC together with FETCO share a common view to enhance FETCO position to “The Capital Market Federation of Thailand” which would have legal status as a “juristic person” like other federations in
According to the information from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that from 25 July to 9 August 2017 (a total of 11 business days) Surin had been continuously trading PICO’s shares in his four securities trading accounts, that is, he submitted trading orders in a manner to drive up the share price by submitting a large number of trading orders. As a result, the price and trading volume of PICO’s shares were not in a normal market conditio...
December 2011. Copulas, which provide a tractable way of modelling non-linear dependency among random variables, are employed under a financial time series framework. The model consists of two parts: the
) Loan payment, which At-Ze borrowed from the Company to pay the director back money it owes to the director as Seller’s connected person in the amount of THB 125 million at the share sale and purchase
part of remuneration on purchase such ordinary share. 2) Loan payment, which At-Ze borrowed from the Company to pay the director back money it owes to the director as Seller’s connected person in the
.’ rd 13 Findings identified by the SEC Remediation plan implemented by the audit firms - No defensive measures are in place when there is threat related to fees in relative size (‘fee dependency’). - No
Reporting Person : - | Type of securities : - | Date of reporting obligation : 05/02/2018
Reporting Person : - | Type of securities : - | Date of reporting obligation : 13/02/2019
Reporting Person : - | Type of securities : - | Date of reporting obligation : 15/05/2002