Bangkok, October 27, 2015 - The SEC urges shareholders of Superblock Public Company Limited (SUPER) to thoroughly study the solar cell power plant investment project before casting votes at the
Alert list. The application is easy and swift to navigate on the phone screen. One must only type in a name, to know whether it is approved, licensed, qualified, or registered under the supervision of
to consultation papers and more convenient participation in the hearing process. The website is accessible via multiple devices such as desktop, tablet and mobile phone, to fit the users
companies and waiving the requirement to use the term “securities company” in the company’s title if the company has previously been engaged in other businesses. Additionally, in order to protect investors
Ms. Jittikarn Wongkampoo, Director of Corporate Communication Department, the Securities and Exchange Commission (SEC), engaged in a discussion on “Strengthening Collaboration against Scams for a
who have been engaged in the business before the effective date of the notification to comply with the capital requirements by maintaining the initial capital to no less than 5 million baht within two
Given the changing economic and business environments, listed companies are increasingly engaged in more diverse and complex transactions; however, the current rules may not cover – or in some cases
submitting orders via mobile phone before re-submitting the orders via the phone recorder in order to make up the evidence that the client had made her own trading decision. The investigation found that {A
misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the
a number of orders via mobile phone. For {B}, the SEC probed into the case and found that she failed to keep complete record of a number of a client's securities trading orders and admitted that the