determine internal control measure as a part of their corporate culture. Boards and executives should be aware of necessity to create and foster this corporate culture in order to upgrade standards and
In her opening remarks at the online seminar on 25 November 2020, Ruenvadee Suwanmongkol, Secretary-General of SEC, stated: “The aims of the online seminar are (1) to help listed companies gain a
2018 Vs 2017 1. Revenue 1.1 Brokerage fees The Company’s brokerage fees in 3Q2018 were Baht 211 million, a decrease of 8% from 3Q2017, mainly due to a decrease in brokerage fees from retail clients. 1.2
public prosecutor, and the court will judge the case, respectively. ____________________ Note: * Cumulative voting is the method of voting which specifies that one shareholder shall have votes in a
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
ecosystem, including the issue of class action lawsuit.“TIA is one of the market participants that has continuously played an important role in supporting the development and reinforcement of shareholder and
fees for funds sold by ONE Asset Management Limited (the Company’s subsidiary). 1.3 Interest income The Company’s interest income in the third quarter of 2020 was Baht 46 million, a decrease of 30
test to make sure that the clients understand their own risk profile and receive appropriate investment advice before making an investment or a transaction. Clear and comprehensive disclosure of
the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered
(13) Mr. Nattapon Chalermpot – all appeared to have relationships with one another – had engaged in trading activities of FVC stocks, exhibiting a pattern of trading in mutual awareness or agreement