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...
firms and the audit work quality of listed companies.Senior Assistant Secretary-General Prakid Punyashthiti said: ?The overall results of the second-cycle inspection show continued improvement in the work
: investglobalmanagement.com show messages soliciting foreigners in Thailand to invest in securities such as stocks, mutual funds and structured notes on a trading platform, and the investors who use the service are subject to
quarter of 2018 would show a great decrease in profits. She sold out 314,500 of UVAN shares that were held under the trading account of Amornrat to avoid loss before UVAN submitted its financial
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
and the persons whom IFEC identified as director via the Stock Exchange of Thailand (SET) to solve the company's problems urgently and to disclose their individual clarifications to the public within