had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
the clients’ handwriting, subscription orders and switch orders or unitholders’ account books, causing damage to four clients at the total amount of 10.44 million baht. The SEC has considered that
into force since 3 March 2021. Additionally, the SEC has revised related regulations to allow the existing business operators to switch to License E or PF License in line with the business model they
manage liquidity of fixed income funds and mixed funds that invest at least 60 percent of the net asset value in debt securities. The limit for such transactions is increased from 10 percent to 30
Bangkok, March 25, 2015 ? Equity private placement deals of listed companies have been significantly increased recently while the existing rules do not cover certain circumstances that might be
The allegation is a consequence of various complaints lodged in relation to the increased debt of THB 26,000 million following EARTH’s submission of the financial statement for the first quarter
August 2017, EARTH informed the SET that such liabilities occurred after submission of the first-quarter financial statements for the year 2017.The SEC viewed that the amount of debts had increased as high
SEC Secretary-General Rapee Sucharitakul said “As of the 2nd quarter of the year 2018, the PVD had been continuously growing, as the number of employers had increased by 788 to a total of 17,866
management. The business provider must have the protective measures against conflicts of interests, for the increased protection for the investors.SEC has published relevant documents regarding public
companies have considerably increased whereas doubts in a number of cases were reflected whether the placements were used appropriately or fairly to the shareholders. To prevent the exploitation of private