? pre-determined investment scope.The proposed rules have taken into consideration the public?s and stakeholders? comments and suggestions collected from the hearing on the guiding principles in last
civil sanctions on Surin. However, he did not agree to comply with civil sanctions determined by the Civil Sanction Committee. SEC, therefore, requests the public prosecutor in writing to file a
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
exchange; (4) “executive” means manager or any person determined by home exchange or home regulator as “executive”; (5) “home regulator” means the regulator of capital market where units of foreign ETFs are
a specific offering price determined by the resolution of a shareholders’ meeting pursuant to the TorChor. 72/2558 Notification, where the offering price is not lower than 90 percent of the fair value
). Nevertheless, the issuance and offering of the U-W3 Warrants to BBL and UE constitutes an issuance and offering of warrants to specific investors at a specific offering price determined by the resolution of a
issued shares; (2) a company relating to the intermediary by having control between each other; (3) a company and the intermediary have mutual control by any person. “ control ” means control as determined
issued shares; (2) a company relating to the intermediary by having control between each other; (3) a company and the intermediary have mutual control by any person. “control” means control as determined
issued shares; (2) a company relating to the intermediary by having control between each other; (3) a company and the intermediary have mutual control by any person. “control” means control as determined