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...
company shall have a process ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give
ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give accurate and suitable investment
services not exceeding the period specified by law.To accommodate the business undertakings while ensuring that investors obtain appropriate investment advice and information in a timely and efficient manner
continue to grow, the ACMF has agreed to strengthen regional collaboration in this sphere, with a view towards addressing potential risks and ensuring market resilience.The ACMF https://www.sec.or.th/EN
Capital Markets digital assets continue to grow, the ACMF has agreed to strengthen regional collaboration in this sphere, with a view towards addressing potential risks and ensuring market resilience.The