Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives trading orders. Failure to do so will therefore result in the SEC's administrative actions. In this regard, the SEC on July 5, 2012 imposed administrative sanction on three investment consultants by suspending {A}, an employee of Kiatnakin Securities Co., Ltd. and {B}, an employee of Phara Securities Plc...
holding other company?s stocks ("holding company"). The amended regulations specify that holding company must hold shares in its subsidiaries that are categorized as its core business (either established in
Bangkok, March 25, 2013 ? The SEC is seeking public comment on proposed regulatory revision governing preparation of financial statements of holding company applying to offer for sale of newly
?Bangkok, March 25, 2013 ? The SEC is seeking public comment on proposed regulatory revision governing preparation of financial statements of holding company applying to offer for sale of newly
Offeror : OSK Investment Bank Berhad | Date of submission of the Statement of Intention : 02/08/2011
Offeror : OSK Investment Bank Berhad | Date of submission of the Statement of Intention : 23/08/2011
Offeror : RHB Capital Berhad | Date of submission of the Statement of Intention : 16/11/2012
Offeror : RHB Capital Berhad | Date of submission of the Statement of Intention : 30/11/2012
Offeror : RHB INVESTMENT BANK BERHAD | Date of submission of the Statement of Intention : 19/07/2013
Offeror : RHB INVESTMENT BANK BERHAD | Date of submission of the Statement of Intention : 15/08/2013