taken into account the important role of PF and DF marketing agents in soliciting investors to use investment management services of such funds. They cover key areas such as (1) the criteria for granting

listed companies would be taken into consideration as well.   The consultation paper is available at www.sec.or.th/hearing.Stakeholders and interested parties are welcome to submit comments through the

orders sent through him for several days. {A} admitted that the securities trading orders were taken via mobile phone; the misconduct of which he had previously committed. In case of {B}, the SEC found

first pursue such expansion at the time the business deal taken into effect subject to customer’s requirements. 3) Undertaking the policy of Related Party Transactions (“RPT”) among the merged CCPH, Kinpo

. engaged in Research and Experimental Development in Engineering and Other Technologies. Have a Thailand Shareholders 51.00% and Foreigner Shareholders 49.00% Seller - QLT International Company Limited which

disposition of assets. Nevertheless, the listed company engaged in dispositions of all investments in a joint venture. Therefore, the Company is obliged to disclose such transaction to the Stock Exchange of

: Disclosure of Information and Other Acts of Listed Companies Concerning the Connected Transactions, 2003 (including any amendment thereto) because the transaction did not engaged with any connected person of

In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for

on suspicious unlicensed activities indicating that the aforesaid operators engaged in the business of managing funds for others or holding themselves out as derivatives fund manager and private fund

the actual handling of the matters shall be taken into consideration without the principal intention being to generate revenue. The fees shall become the property of the SEC Office. Chapter 2 https