Bangkok, October 30, 2012 ? The SEC requires advertisement on marketing campaign for selling mutual fund investment units clearly provide the fund?s information and avoid giving too much information on the giveaways. As from October 26, 2012, asset management company, brokerage firm and LBDU operator which hold marketing campaign must emphasize on the information necessary for investor?s decision. Non-compliance may cause the advertisement to be ceased or revised.Advertisement on selling of m...
deadlines and allows business operators and regulated companies to request additional extension for the SEC’s consideration on a case-by-case basis. The details are as follows: 1. Securities companies
Bangkok, March 16, 2016 ? The Criminal Fining Committee has imposed a fine of 500,000 baht on Somchai Chaisrichawla for manipulating the share price of Asia Metal Public Company Limited (AMC
SEC has prepared a questionnaire surveying preparedness toward the Personal Data Protection Act, B.E. 2562 in April 2020 for self-assessment of 276 organizations under its supervision. Based on the results, 192 firms responded, scoring 70% total preparedness in personal data protection.Business operators, who need to accelerate their preparedness for the Personal Data Protection Act, have been advised by SEC to accelerate the following, four main issues.(1) Considering appropriate legal b...
SEC Secretary-General Ruenvadee Suwanmongkol said, "Under the current global situation that technology and user behavior has changed dramatically, which may come with cybersecurity risks, SEC has realized the importance of business preparation in this matter. For this reason, SEC is set to launch an online training under the topic of “Incident Response from the Pentester’s Eyes View” and “Cybersecurity Incident Playbook: Priorities & Best Practices”, which will be graced by the presences...
Microsoft Word - S_2019_GRC-02_025_S43 Share Acquisition_EN Page 1 – Translation – GRC-02/2019/025 11 December 2019 Subject: Report of the Asset Acquisition To: President The Stock Exchange of
Bangkok, February 17, 2011 ? The Settlement Committee imposed a total fine of 20,635,579.57 baht on Auttawut Phaichai and Patinya Pittayanupakorn for manipulating the share price of TWZ Corporation
Bangkok, April 20, 2016 ? The Settlement Committee has imposed a fine of 14,640,844.50 baht on Chayanont Weerayuthkosol for manipulating the share price of Chuo Senko (THAILAND) Plc. (CHUO
SEC has opened for public comments to revise the regulations on supervision of fintech as there are some business operators applying fintech to improve their service efficiency for investors. For example, algorithm or computer coding has been used in the process of investment analysis, advice, and investment decision-making. Therefore, it could lead to new services offering and help investors to have alternatives by using the capital market to accumulate wealth in the long run.SEC studied...
} and an unknown person, for manipulating share price of Union Petrochemical Plc. (UKEM).With the referral from the Stock Exchange of Thailand on irregular trading in UKEM shares by a group of persons