5,506,530.65 baht on three former manager and marketing officers of Far East Securities Co., Ltd., namely (1) Shine Bunnag, (2) Nattada Kaewma and (3) Sarunya Simaporn for manipulating share price of D.T.C
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For derivatives business operators to have sufficient time in preparing their operating systems, the SEC approved draft rules governing derivatives agents with requirements as follows: Readiness of Business Operation: Derivatives agents must have in place (1) clear organization structure, (2) working system that prevents conflict of interest and the leak of information, (3) risk management system, (4) operational and IT management system, (5) database system, and (6) compliance system. Beside...
The SEC approved the supervision guidelines for provident fund management business as agreed by the Association of Investment Management Companies (AIMC) with a view to enhance asset management
SEC Thailand has organized an online training session on the topic, “The Supervision on Infrastructure Fund” to share knowledge related to supervision on infrastructure funds in Thailand with capital
market, including the supervision of securities settlement systems, is fundamentally sound, secure, efficient and reliable. They also recommended that the following identified deficiencies, mostly in the
Bangkok, December 4, 2014 ? The SEC is seeking public comment on a proposal on crowdfunding supervision, aiming to introduce a new fundraising channel for small and medium sized enterprises in
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
manipulating the share price of Focus Development and Construction Plc. (FOCUS). An SEC investigation on the trading of FOCUS shares during October 5-29, 2004, right after the securities got listed on the