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...
- retail investors. The greater extent of offering to retail investors will not only widen investment alternatives, but also expand business opportunities for the mutual fund operators and propel integrated
to invest in the instruments offered domestically or overseas, to the extent specified by investment limit. The regulations aim to widen both channels for banks to strengthen their capital and
the public hearing on the proposed amendments to the regulations and the concerns raised by asset management companies in the focus group meeting held in October 2020. To this extent, the SEC amended
the public hearing on the proposed amendments to the regulations and the concerns raised by asset management companies in the focus group meeting held in October 2020. To this extent, the SEC amended
Audit Committee of the listed company if there is any suspicious circumstance that indicates that a director, manager or the person responsible for the operation of the juristic person may have
that indicates that a director, manager or the person responsible for the operation of a juristic person may have committed an offense under Section 89/25, for example, taking the assets of the
had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person