Microsoft Word - MDA_Q2 2017-in Thai แก้ไข _ use this file_ HPIR015/2017 วนัที 10 สงิหาคม2560 เรือง คาํอธบิายและวเิคราะห์ของฝ่ายจดัการประจํางวด สินสุดวนัที 30 มถิุนายน 2560 เรยีน กรรมการและผูจ้ดัการ
Microsoft Word - 11 9H!7-@˙4@˝" use of proceeds.docx 1 คูมือการเปดเผยขอมูลในแบบแสดงรายการขอมูลการเสนอขายหลักทรัพย และขอมูลประจำป ตามที่สำนักงานไดมีการปรับปรุงหลักเกณฑเกี่ยวกับการเปดเผยขอมู
Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market
The web contents are categorized into five key menus featuring more convenient user experience and easier accessibility, namely (1) About Us, (2) Laws and Regulations, (3) News and Market Data, (4) Investors, and (5) Filing of Reports and Applications. There are also shortcuts to frequently searched information. In addition, the new website improves the public hearing channel by offering easier access to consultation papers and more convenient participation in the hearing process. The webs...
Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are exempted from the securities business license in the category of private fund management and...
At present, real estate investment trusts (REITs) and infrastructure trusts are asset trusts that only have the legal obligation to prepare and disclose information, but in practice such obligation is performed by trust managers. However, trusts are listed securities on the Stock Exchange of Thailand; SEC therefore requires them to disclose information in the same way as securities issuing companies to give trust investors adequate information. Trust managers will have the duty to prepare...
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the