servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter
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...
meeting concluded with primary suggestions as follows: (1) proxy voting: shareholders are advised to consider proxy voting through independent directors instead of in-person voting at
March this year.The key changes to the rules include: - To re-define the term, ?patron? as any person who makes contribution to the issuer clearly and continuously, or any person who has a potential to
by financial advisor Bualuang Securities Public Company Limited, lacked sufficient details of the ultimate tender offeror and contained no information on the identity of the shareholders or the person
retail investors and prevent inproportionate share allocation to patrons and related persons of the issuing company in such a way that could control the IPO volume on the Stock Exchange of Thailand (SET
be a qualified person with independence, objectivity and required competency; (3) Update the requirements per current standards and guidelines to be in alignment with international standards and other
select the provident fund with good management, which will be qualified by various factors, including good governance in investment, the standard of control and management of investment, the roles of