originally intended by the investors. Such wrongful acts incurred damages onto several clients, at an initial large sum of 74.8 million baht.  SEC has considered that Napasook failed to perform duties or

, Thailand (SEC) and the Singapore Exchange (SGX) have signed a Memorandum of Understanding (MOU) to establish a Streamlined Review Framework for the ASEAN Common Prospectus. The Streamlined Review Framework

Bangkok, 25 January 2018 ? The SEC is seeking public comments on a draft amendment to the rules governing issuance and offering of derivative warrants (DW) to require additional and continuing

that the applicant had transferred all shares of such company to a third party despite various factors indicating that the transaction may not exist. This would lead to incorrect and incomplete

-redemption rate must be accompanied by the following statements: (a) in case of mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due

also disclose the used assumption in the manner that is clear and easy to understand; (7) the estimated return or auto-redemption rate must be accompanied by the following statements: (a) in case of

shall also disclose the used assumption in the manner that is clear and easy to understand; (7) the estimated return or auto-redemption rate must be accompanied by the following statements: (a) in case of

advertisement; (3) clarify complete and accurate information to investors; (4) act or refrain from doing any acts within a specified period of time to ensure that the acknowledgement of information is accurate

the market moves up, a DW issuer will buy SET50 futures or stocks, and if the market moves down, the DW issuer will sell SET50 Futures or stocks. The objective of this rebalancing is to hedge the DW

Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete