, which was deemed a failure to comply with the investor’s order. {A}’s misconduct above contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board.* In
SEC Secretary-General Ruenvadee Suwanmongkol said that supporting small and medium-sized enterprises (SMEs) to access financial instruments in the capital market is one of the factors that readies
efficiency of frameworks for monitoring and analyzing systemic risk to examine circumstances and detect weaknesses promptly and prevent severe effects on the overall capital market. In addition, SEC engages
client that, from the effective date to the closing of tender offer, the client was not allowed to purchase EIC securities by any means other than those specified in the tender offer. {A}'s conduct was
estimated number of visitors used in the projection was not disclosed.By virtue of Section 58(1) and (2) of the Securities and Exchange Commission B.E. 2535 (1992), the SEC therefore instructed PACE to
Bangkok, March 18, 2015 ? The SEC suspended {A}, a securities investment consultant and a branch manager of Bangkok Bank Plc., for failure to inform the client of sufficient information which was
KITHA shares is classified as acquisition of significant asset and related party transaction, the shareholders? resolution alone was unable to satisfy the requirements under regulations under the
KITHA shares is classified as acquisition of significant asset and related party transaction, the shareholders? resolution alone was unable to satisfy the requirements under regulations under the
offences in the capital market, all of which would greatly improve the chance of success in law enforcement and prevention against violations in the capital market. The workshop was held on 15 to 16
), led by Mr. Yarnsak Manomaiphiboon, Secretary-General, and Mrs. Patchanee Sinwattanacharoen, Chairperson of the Compliance Club, along with ASCO board members. The purpose of the meeting was to discuss