According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, there were facts and evidence leading to believe that the actions of the three persons above were liable to be offenses related to insider trading that caused the rise of the CHG share price. The inside information that Dr. Kumpol became aware of or possessed was CHG’s operating results for the third quarter of 2019, which recorded a significant increase in net earnings due to the income...
sector, the SEC Board has approved to ease the regulations governing the establishment of an audit committee for certain types of securities companies. The audit committee is required to perform the duty
provide easily and thoroughly assessable disclosure channels to investors as opposed to the previous requirement for specifically disclosing certain types of information at the companies’ office or the
Following receipt of clue information, the SEC conducted an investigation and found that since 12 January 2022, 1000X, the service provider of the website https://www.1000x.live (“1000x.live”), had provided services or presented itself to the public that it was ready to provide the digital asset exchange service in the ordinary course of business outside the digital asset exchange. Additionally, Worawat promoted 1000X’s service in the Thai language on Facebook to invite the public to use the ser...
Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows: (1) Rules that carry the material context similar to that state...
The Regulatory Guillotine* scheme is one of the key projects supporting the implementation of SEC Strategic Plan in the area of competitiveness enhancement and connectivity. The scheme enables a regulatory framework that requires issuance and revision of necessary rules and regulations and promotion of effective enforcement in line with international standards and current situations. In this regard, SEC has reviewed regulations on the operation of investment management business as presc...
NBC will hold the AGM 2020 to seek approval for the acquisition of “Komchadluek” trademark from NMG at the amount of 69.9 million baht and the acquisition of assets and business under the “Komchadluek” trademark from Komchadluek Media at the amount of 100,000 baht, resulting in the total acquisition value of 70 million baht. NBC’s Board of Directors and the Audit Committee view that the entry into the acquisition of business and the trademark of Komchadluek is appropriate and beneficial fo...
transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s
financial institution established under specific law. ?Recently, bills of exchange have been actively used for fundraising not only from institutional investors but also from private individuals either
Investors 30,722.08 Individuals 8,519.57 Juristic Persons 30,938.83 2.Foreign Investors Foreign Investors 50.00 Institutions 50.00 High Net Worth Investors 00.00 Individuals 00.00 Juristic Persons 00.00 2