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
custodians under draft amendments to the Provident Fund (PVD) Act and within the securities trading framework. The Custodian Club consists of 13 members, including commercial banks engaging in fund supervision
be actual expenses for engaging reviewers and / or consultants in the preparation of carbon footprint disclosure, but in any case not exceeding 50,000 baht per year. The consultation paper is
have reviewed the criteria for licensing application and prevention of conflicts of interest, with involved parties engaging in the whole process. Results of the regulatory review will be completed in
, the deductible amount shall be the actual expenses for engaging reviewers and/or consultants, but in any case, shall not exceed 50,000 baht per year.The related notification* was published in the
. Sornchai Suneta, Vice President of CFA Society Thailand, said, “CFA Society Thailand is committed to engaging and supporting Thai companies in realizing their social responsibility and governance that can
jointly with Thanjira repaid debt to Tisco Asset Management Co.,Ltd. From the said facts, Surasak was considered as jointly with Thanjira engaging in dishonest conducts. The aforesaid actions were in