Bangkok, October 31, 2014 ? The SEC Board approved reorganization of supervisory line, effective from November 1, 2014, as follows: 1. Deputy Secretary-General Chalee Chantanayingyong supervises Prevention and Development Division and Market Intermediaries Division. 1.1 Prevention and Development Division comprises Corporate Monitoring Department, Financial Literacy Department and Corporate Governance Center. Assistant Secretary-General Waratchya Srimachand is the Head of this Division. ...
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...
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual (No. 2)
Thailand, unless specifically exempted under the terms of an applicable double tax treaty, in case that the Offeree is a foreign juristic person not operating any business in Thailand and not residing in a
an appropriate person as the chairman and ensure that the board composition serves the best interest of the company, enabling the board to make its decisions as a result of exercising independent
Bangkok, September 25, 2014 ? The SEC, the Thai Listed Companies Association (TLCA) and mai Listed Companies Association (maiA) co-support the Territorial Defense Command?s ?Territorial Defense
the SEC’s recommendation may give a waiver of such disqualified characters to such person; (b) for individual, [such individual] shall not have the disqualified characters under (a)(iii), mutatis