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...
related to utility tokens or cryptocurrencies that have any of the following characteristics: (1) Meme token: having no clear objective or substance or underlying, and whose price running on social
which are divided into six parts. The summaries of the essence are as follows: (1) amends the definition of “Securities” in Section 4 to cover other investment products that have substance like
characteristics. Disclosure of information is complete and sufficient for making a decision to invest, and not misleading in substance Other qualifications Summary of important criteria in relation to the issuing
Securities dated 24 December 2010 specifies that any person intending to make an offer for sale of units of foreign ETF in Thailand may file an application with the SEC Office for examination of such units of
been approved to establish or registered or person responsible for undertaking of foreign collective investment scheme (CIS operator) is under the supervision of such agency. Clause 2. This Notification
attached hereto are correct, complete, true, and contain the substance [of the offering] in all respects. In this regard, to confirm that all documents are verified by the company, I have assigned
. The consideration of whether person is guilty or not is thereafter vested on the court of justice. ----------------------------------- Documents SHARE : Related News SEC launches Digital Asset