One of the objectives of the Thai capital market development plan is to enable the public to access and utilize the capital market for savings and investment purposes. SET has taken steps to create opportunities and reduce restrictions to enable prospective investors to access investment services by taking advantage of technological advances which lead to the development of new financial service platforms that correspond with consumer behaviors today, including new services to sell mutual...
Management Co., Ltd., and Surasak Sakrittiron. Following the report from Tisco Asset Management Co., Ltd., the SEC probed into the case and found that Thanjira submitted the documents of buying/selling orders
Presently, the digital asset business operators are required to hold shareholders’ equity as a minimum capital requirement to assure their sufficient capital for continuous business operations
well as business nature. PwC Thailand is pleased to collaborate with the SEC to organize this event to share and exchange views among participants. The collaboration will help assure all stakeholders
that Sakorn solicited the person to purchase BSEC shares based on the insider information that OSK Investment Bank Berhad (OSKIB) in Malaysia was interested in buying BSEC shares from Bangkok First
February 26, 2014, reasoning that she intended to take profit for the client by selling out when the price increased and buying back when the price declined. Making trading decisions of securities in the
result, the price and trading volume of PICO’s shares were not in a normal market condition, and investors in general were misled to understand that a large number of investors were interested in buying
session. Besides, {A} admitted that she advised the client to sell the other securities to settle the buying order which the client agreed and asked her to submit the selling order via mobile phone
result, Chantip gained illegal benefits from such buying. Moreover, during 12 July – 10 August 2018, after Chantip knew negative non-public information that the operating results of UVAN in the second
higher risk level in buying financial products with a higher risk than the client’s risk profile. SEC has considered the case and viewed that Somchai had behaviors with dishonest implication, affecting the