Bangkok, June 13, 2014 ? The SEC is seeking public comment on rule revisions on subscription, underwriting, and allotment of newly issued securities and securities underwriting. The revisions aim at eliminating obstacles for issuing companies while maintaining proper protection and fairness in allotment of securities for investors. Also, rules on prevention of conflict of interest arising from securities underwriting will also be revised in responsive to current circumstances. The consultation...
property rights over two coal mines in Indonesia, which EARTH had acquired from exchange of the company group’s assets at an approximate value of 24 billion baht. In this regard, EARTH failed to proceed
Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension
SEC Assistant Secretary-General Kumpol Sontanarat said that SEC has recently provided additional service for the capital market. The open data database contain 10-year historical records of fund raising activities both in equity and debt securities including the details of the fund mobilizers by industry, companies and individual instruments.SEC has been continuously developing the open data service in many forms which can be accessed via SEC website. The data can be downloaded through SEC...
Essentially, the draft proposal aims to allow three more types of businesses to participate in the Regulatory Sandbox to support more efficient provision of capital market services, namely: (1) securities brokerage, securities dealing, securities underwriting, mutual fund management and securities borrowing and lending (SBL) (currently only investment advisory and private fund management businesses are eligible for the program), (2) derivatives clearing house business, and (3) the securit...
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Cross Investing Fund | Offering Date : 31/05/2013 - 31/05/2013
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Cross Investing Fund | Offering Date : 31/07/2013 - 31/07/2013
MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Cross Investing Fund | Offering Date : 30/09/2013 - 30/09/2013
Following POLAR shareholders? complaints and the SEC's further investigation, it was found that POLAR, led by Yanakorn as director and chief executive officer and Poonsak as director and chief financial officer, failed to report to the Stock Exchange of Thailand (SET) and the SEC that the company had been filed for bankruptcy by its creditors on 8 May 2017 and later became under the Court's receivership on 3 August 2017. Such material facts were subject to public disclosure within a reasonable t...