Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the
SEC together with FETCO share a common view to enhance FETCO position to “The Capital Market Federation of Thailand” which would have legal status as a “juristic person” like other federations in
According to the information from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that from 25 July to 9 August 2017 (a total of 11 business days) Surin had been continuously trading PICO’s shares in his four securities trading accounts, that is, he submitted trading orders in a manner to drive up the share price by submitting a large number of trading orders. As a result, the price and trading volume of PICO’s shares were not in a normal market conditio...
the SEC Board to include ordinary person investors in the “institutional investor” category. The revision to the definitions of the term will become effective as from 1 October 2022. This may cause
categorized as securities brokerage, securities dealing, securities underwriting and mutual fund management, and allow such businesses to participate in the regulatory sandbox program, which has already
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
revised in the following conclusions:(1) “Digital asset advisers” and “digital asset fund managers” will be announced as the additional businesses. These businesses are categorized into two types
Audit Committee of the listed company if there is any suspicious circumstance that indicates that a director, manager or the person responsible for the operation of the juristic person may have
that indicates that a director, manager or the person responsible for the operation of a juristic person may have committed an offense under Section 89/25, for example, taking the assets of the
had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person