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...
ago or such behavior is not severe to the extent that the person should not be entrusted to perform duty as auditor of entities in the capital market, the SEC may disregard such facts as a cause for
, and the facts of the case reasonably show that the act leading to the lack of qualifications or the possession of prohibited characteristics of such person is not so severe to the extent of preventing
extent the issuer has a continuing relationship with such entities; (b) the sponsor for listing or issue manager to the offer; (c) the underwriter to the offer, if any; and (d) the legal advisers to the
performs monitoring function? 2 Does the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, Does the responsible person have sufficient and appropriate
property funds; (3) “Property Fund Manager” means a person who makes decisions to invest or dispose of real estate or leasehold right of property funds; (4) “Fund Manager of Fund for Solving Financial
funds; (3) “Property Fund Manager” means a person who makes decisions to invest or dispose of real estate or leasehold right of property funds; (4) “Fund Manager of Fund for Solving Financial Institution