recently been issued. Essentially, an equity issuing company is required to comply with the following provisions: (1) the equity to be allocated to various persons must be segregated clearly based on the
AIRA Securities Public Company Limited's report and the SEC's further investigation, he was found to have given investment advice on specific securities at a seminar and via Line application based on his
in each type of assets. In this regard, asset management companies may choose to invest in mutual funds that concentrate on a specific type of assets and require specific expertise of fund managers
retail investors and prevent inproportionate share allocation to patrons and related persons of the issuing company in such a way that could control the IPO volume on the Stock Exchange of Thailand (SET
issued by commercial banks, the banks established by specific laws or TSFC Securities Public Company Limited (TSFC) on the condition that the financial instruments and the issuers thereof must have the
as a listed-company director with responsibility, prudence, honesty and integrity. As a result, the Civil Penalty Consideration Committee ordered Mr. A to pay a civil fine and compensate the SEC for
’ instruction and refused to facilitate a meeting venue for the board of directors’ meeting. Such misconduct was therefore deemed as the failure to perform his duties as a listed-company director and executive
TMB Bank Public Company Limited (TMB). According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa
In the past, proposing of agenda items by shareholders of listed companies and proxy soliciting have been carried out differently for each company and for soliciting person as there is no common
TMB Bank Public Company Limited (TMB).According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa had