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...
, claiming returns from cryptocurrencies, digital tokens or package investment plans in the form of Ponzi scheme. Solicitors may also promise or guarantee attractive returns, luring investors into quick
certificates will be limited to institutional investors or high net worth investors only; therefore, is exempted from the SEC?s approval.? ?To make investment in PE trust more attractive, the SEC will further
funds and provident funds. The allocation of shares to cornerstone investors would make an IPO more attractive to the investing public, and thus more likely to be a success. In addition, the exclusive
September 5, 2023 with the aim at boosting the expansion of mutual fund investor base through the increase of investment knowledge and promoting mutual funds as an attractive savings option at the "Mutual
products that connect the capital markets of Thailand with the CLMV (consisting of Cambodia, Laos, Myanmar and Vietnam) and ASEAN countries which will make the Thai capital market more attractive
have expressed interest and discussed with SEC the possibility of offering the services. These securities firms can provide advice on attractive digital assets for investment to customers and invest
presentation has been provided to you by Grantham, Mayo, Van Otterloo & Co. LLC (“GMO”) for illustrative purposes only, is intended exclusively for the use of the person to whom it has been delivered by GMO, and