urges the private sector to exercise caution and refrain from using response letters in such manner.In any case, the SEC’s response letters to inquiries may contain facts that have changed or are specific
, for example, has changed significantly recently. Since last December, SEC has informed SET to monitor the trading activities of such shares closely to protect investors and prevent distortion of the
Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of
more efficient.SEC understands the benefits of encouraging the intermediaries to do e-KYC. Not only e-KYC is effective methods, but it also supports clients that have changed themselves to digital
matter are changed, SEC must revise the rules on the rotation of auditors accordingly. SEC has recently revised the rules on rotation of auditors of listed companies and will likewise revise such rules
SEC Secretary-General Ruenvadee Suwanmongkol said, "Under the current global situation that technology and user behavior has changed dramatically, which may come with cybersecurity risks, SEC has
Storage Property Fund (Montri Fund), established and managed by CIMB-Principal Asset Management Company Limited.Following the complaint against Nakul Chaiyanil, a former fund manager who prepared the
.,Ltd to the address changed by her request. In case of the second client, Thanjira had signed the client?s name for submission of investment unit switching and buying orders and changed the address for
-price matching for the trading activities within their own group. Such transactions misled other investors into believing that TAPAC shares were traded in high volume and its price was changed. As a
was changed to ?T? on 19 June 2015.