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...
Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. The said actions were also classified as prohibited characteristics of personnel in capital market according to Clause 6
classified as a sizable related party transaction where major shareholder of CYBER-APU is the same person. The proposal is therefore subject to the approval of shareholders? meeting. The CYBER Board of
classified as a sizable related party transaction where major shareholder of CYBER-APU is the same person. The proposal is therefore subject to the approval of shareholders? meeting. The CYBER Board of
paid-up capital suitable for the business nature and risks instead. In addition, the SEC Board has the power to exempt certain business undertaking from being classified as securities business such as
Personnel in Capital Market dated June 3, 2014; classified as prohibited characteristics of personnel in capital market according to Clause 31(1) of the same Notification. Meanwhile, {A}, then a branch
course of business. As a matter of fact such revenues were classified as other incomes from acting as agent for selling of goods and rendering services. The revenues were not generated from the actual
investment exceeding 100% of NAV will be classified as high risk products and subject to additional regulations to mitigate risk of misselling; for instance, description of the worst case scenario for