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...
which the customer shall be aware of and familiar with in respect to derivatives fund management. Clause 6. The derivatives fund manager as the person entrusted to manage the customer’s funds shall invest
warnings which the customer shall be aware of and familiar with in respect to derivatives fund management. Clause 6. The derivatives fund manager as the person entrusted to manage the customer’s funds shall
building lease from JKN Landmark Co., Ltd. for a term of 3 years from June 1, 2018 – May 31, 2021, which may be extended for 3 years each, whereby the Executive Committee or any other person entrusted by the
on a new role in a familiar organization and working environment, with the primary goal of leading the SEC as a regulatory agency that develops the capital market and supports economic growth. Under
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PLC. and the SEC that the client gave him the username and password for submitting the trading orders as the client had just started investing and not familiar with the Internet trading program.Making