responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board
On 17 September 2021, the SEC sent a circular to all listed companies advising listed companies that invest or plan to invest in digital assets to exercise discretion in making decisions regarding such investment. This is to prevent material impacts on the companies’ financial position or operating results as digital asset investment is usually exposed to relatively high risk from price volatility. In addition, the SEC reiterates that listed companies should take action and consider various fact...
creating a comprehensive investment care service at a low cost. The service starts from (1) exploring and understanding customers, (2) constructing an investment portfolio, (3) implementing the portfolio
professional duties with responsibility and care** by signing the documents knowing that no actual service was provided. SEC, therefore, orders the following administrative sanctions: (1) {D
care of the Ministry of Social Development and Human Security (MSDHS). The award was presented by MSDHS Minister, Mr. Varawut Silpa-archa, at the National Children’s Day 2024 event on 13 January 2024 at
According to the findings of SEC inspection on the operation of SKFM whose main business is private fund management, in 2018 Mr. King, CEO and fund manager of the company at the time, acted in the following manners: (1) funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a continual basis from 2015 to 2017; (2) managing private funds without taking the cli...
to ensure clear and equitable treatment of shareholders. The meeting was held at the SEC Building on 8 December 2023.
January 27, 2014.As the purchase price is higher than the tender offer price, it caused unfair treatment among EIC shareholders. The SEC proposed this matter to the Sub-Committee on Business Takeovers for
securities. This is to ensure fair treatment between retail investors and foreign institutional investors executing the clearing and settlement of securities through custodian which is a member of TCH. The
with fair treatment and transparency, and increase flexibility for management of member contribution. Most respondents agreed with the proposed amendments and suggested further details for the