’ representative appointment agreement. This initiative aims to facilitate and reduce costs associated with appointing a bondholders’ representative for bond issuers according to standardized procedures
Bangkok, August 17, 2015 ? The SEC filed a criminal complaint against Parin Pruksawan for committing front running in the Thailand Futures Exchange (TFEX) with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police). The SEC found that during December 17, 2013 ? January 9, 2014, Parin, then a trader of DBS Vickers Securities (Thailand) Co., Ltd., had front run his clients? futures trading orders through an account linked to him at another broker for his personal gain. This...
Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for misconduct related to the offences of the investment consultants. Following an inspection report of {X1},...
Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and derivatives fund (DF) managers to enhance flexibility for business operation and adjust timeframes for approval procedures in accordance with the Licensing Facilitation Act of 2015. The draft amendments have taken into account the important role of PF and DF marketing agents in soliciting investors to use inv...
increase flexibility and effectiveness in business operations by delegating other persons, who are prepared to operate the business under the principle of principal-agent relationship. SEC has held three
Limited serves as the bondholder representative for PPH206A. The e-meeting’s agenda contains subject matters for consideration as follows: Agenda item 1: Consideration for approval of an
. Daol Securities (Thailand) Public Company Limited serves as the bondholder representative for IRIS20OA and IRIS20DA. The e-meeting’s agenda contains subject matters for consideration as follows: Agenda
Company Limited serves as the bondholder representative for JKN239A. The e-meeting’s agenda contains subject matters for consideration of approval as follows: 1. Extension of the bond maturity date without
serves as the bondholder representative for WGH216A. The e-meeting’s agenda contains subject matters for consideration as follows: Agenda item 1: Consideration for approval of an
. serves as the bondholder representative for JCK221A. The e-meeting’s agenda contains subject matters for consideration as follows: Agenda Item 1: Consideration for approval of an