The SEC had reviewed the criteria related to report on securities (i.e., shares and convertible securities) or derivatives holding of listed companies’ directors, executives, and auditors** and
out and paid to the unitholders at a price higher than the market price at the time. Chanyarat used the information above to buy UOB8TF units into her securities account during 20 August 2015 – 11
Bangkok, June 26, 2014 - The SEC suspended {A}, a former securities investment consultant of Capital Nomura Securities PLC., for trading securities on behalf of client. Following the report of
Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report
decisions on the client's behalf for a period of time. {A} admitted that the client allowed her to make trading decision to adjust the transferred securities from another securities company and she kept
revise the definition of bills that are considered as securities as follows: (1) being bills of exchange or promissory notes issued to the holder, representing the rights on such bills, to more than 10
Bangkok, 9 November 2017 ? The Civil Sanction Committee has imposed civil sanctions on four persons, namely (1) Mr. Surachai Suwanthanakul, (2) Mrs. Orthai Sae-tung, (3) Mr. Somsak Saravutwattanakorn
persons shall not be in aggregation at a time greater than one third of the total sold units of a mutual fund. Such limitations on unitholding are to ensure that investment units are widely allocated to
The SEC supports and promotes sustainable investment on a continued basis, emphasizing the importance of business operation and investment in the Thai capital market that takes into account every
. In a number of cases, the clients authorized the investment consultants to make trading decisions on their behalf. Usually, those clients did not have enough time or viewed that the investment