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
investment was made. Therefore, the general public could not utilize the capital market to create financial freedom.”“The Five Steps toward Investment Confidence project was initiated from the intent of SEC 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...
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
Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision
SEC Secretary-General Rapee Sucharitkul revealed that “the financial reports are crucial for investors’ investment decision-making. The independence of auditors, which plays an important role in
income streams from infrastructure as the underlying (infra-backed ICO). Previously, the investment limit of retail investors was not exceeding 300,000 baht per person. This is to align with the product
financial advisor independence from the target company and the tender offeror with regard to fair value appraisal. The consultation paper is available at www.sec.or.th. Stakeholders and interested parties
SEC Secretary-General Rapee Sucharitkul revealed that “independence of the auditor is a key factor in establishing the reliability of the financial reports. When the international standards on this