-informed decisions to take any action on their portfolios. The drastic fall is believed to have resulted from foreign investors? worries over the measures on foreign short-term capital inflows launched by

before making decisions to invest in initial public offerings (IPO).  SEC Deputy Secretary-General Prakid Punyashthiti said: ?Investors should study the information of any  financial instument of their

assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth

Microsoft Word - NMG - SET Disclosure on BoD resolutions (NML) (EN) 28 August 2018 Subject: Entering into the Transaction of Disposal of All Investments in NML Co., Ltd., a Subsidiary of the Company

Microsoft Word - [ENG] NMG - SET Disclosure on BoD resolutions (WPS) 13 December 2018 Subject: Entering into the Transaction of Disposal of All Investments in WPS (Thailand) Co., Ltd. To: Director

Bangkok, May 18, 2011 ? SEC Secretary-General Thirachai Phuvanatnaranubala said after monthly SEC Board?s Meeting No.5/2011 that the SEC Board at its meeting No. 5/2011 has approved, in principle, supervisory guidelines for bills of exchange and extension of regulation on net liquid capital rule on business operators of brokerage, dealing and underwriting of investment units (LBDU) as follows:  1. Bill of exchange issued, accepted or avaled by or drawn on financial institution will no longer be...

The SEC Board’s approval of the principles for supervising additional digital asset businesses would not only benefit securities companies that have recently showed their growing interest in offering digital asset advisory service and/or acting as digital asset fund manager to provide alternative investment choices for investors, but also support careful monitoring of persons giving advisory service and soliciting the public to invest in digital assets, which may be liable to fraud and ca...

            1.  The SEC Board has approved in principle the issuance of the Notification of the Securities and Exchange Commission regarding Exemption of Fees for Filing the Applications for Offering for Sale of Green Bond, Social Bond and Sustainability Bond. Currently, an issuer of such bonds is required to pay the filing fee of 10,000 baht or 30,000 baht depending on the product type. The exemption shall apply as from the effective date of the Notification until 31 May 2020. In any case...

consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to

Microsoft Word - (EN) NMG - SET Disclosure on BoD resolutions (HuntonAK's draft19July18) (1) 1 Date 19 July 2018 Subject: The entering into the transaction of the disposal of all investments in