Bangkok, December 9, 2014 - The SEC suspended {A}, a capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for 6 months.After receiving a client's complaint against {A
investment in (i) the companies in such employer?s group and (ii) investment units of mutual funds and trust units of trust having main objective to invest in the assets of employer?s assets and the companies
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Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014. The SEC, therefore, has imposed the suspension of securities investment consultant approval on {A} for 20 days, from
2023. Essentially, the regulations as amended by the Capital Market Supervisory Board are as follows: (1) Clarifying the characteristics of an investment company, referring to a company that engages
Bangkok, 28 April 2017 ? The SEC has ordered the Board of Directors of Polaris Capital Public Company Limited (POLAR) to further clarify individually within 15 days on the company's failure to hold
subsidiary under the same group of the parent company or investment in a company under the business network or inter-corporate synergy or investment in a company in the value chain, etc.; (3) Require any
Bangkok, April 24, 2014 ? The SEC urged investors to make prudent investment decision concerning information on fund establishment and forward-looking on profits of listed firms.Chalee
Bangkok, 16 November 2017 ? The SEC has notified Pace Development Corporation Plc. (PACE) to clarify the assumptions used in the fair value measurement of its investment in Pace Project One Co., Ltd
measurement of its investment in Pace Project One Co., Ltd. (Pace One) and Pace Project Three Co., Ltd. (Pace Three). The deadline is extended to 15 January 2018.Earlier, the SEC instructed PACE to clarify the