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
Following the initial launch earlier this year, the ESG Product Platform in its second phase features extensive coverage and details related to sustainability-themed financial products, especially
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...
Bangkok, December 23, 2015 - According to the highly publicized news coverage on share transfers of a person, the SEC after probing into the case has imposed administrative sanctions on three
Bangkok, December 23, 2015 ? According to the highly publicized news coverage on share transfers of a person, the SEC after probing into the case has imposed administrative sanctions on three
aims to facilitate private sector?s issuance of new financial products in response to market needs. Under the proposal, the principle-based set of rules enabling a more flexible coverage of various
-and medium-sized firms, especially those that have never been covered before. This collaboration will not only promote greater research coverage for investors' benefits, but also create more
flexibility and coverage of the Exchange’s listing criteria for general companies which formerly took into account primarily the companies’ track records on net profit from operation. With these adjustments
invest in assets that could be fraudulent, and SEC has not been able to extend its supervisory coverage to such businesses. Therefore, SEC intends to improve the regulations to be consistent with the