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...
, Amornrat and Walailuk, requiring each person to pay a separate civil monetary penalty, the benefits received from committing the offenses and reimburse SEC’s investigation expenses in total amount of
of rules on every five percent reportThe revisions intend to lessen the burden of reporter and provide more information to investors. To begin with, the revisions to lessen the burden of report include
intermediary shall remove such person from the position thereof for the following periods: (1) in case of prohibited characteristics in Group 1 under Clause 29, the removal shall begin when [i] the court has
participants to begin their investment journeys. Key topics included “Three Keys Factors of Value Investing (Principal, Return, and Time)”, “Using AI to Manage Investment Portfolios,” “Low-Investment High-Return
effect as of the date when an approval is granted, but the 2-year period shall begin as from the 1st day of January of the following year. In this regard, in case of granting an approval for the person who
possesses such prohibited characteristics; (2) in case of prohibited characteristics in Group 2, the removal shall begin when there is a certain fact appeared to the SEC Office that such person has possessed
Clause 29, the removal shall begin when [i] the court has made final order or judgment relating to the specified matter [in the Clause thereof], or [ii] when the SEC Office accuses such person to the
case the application is submitted by an authorized person and the evidentiary documentation is incorrect or incomplete, the authorized person must show a written authorization from the applicant to sign