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...
decisions. We measure value through a certainty-equivalent utility-adjusted retirement income metric. Gamma will vary for different types of investors and for different strategies; however in this paper we
the company to select a person with knowledge and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the
work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable the company to select a person with knowledge (Unofficial
person with knowledge (Unofficial Translation) Page 2 of 4 and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image
securities in multiple jurisdictions would be shortened, providing more certainty to the issuer in terms of the time-to-market.Malaysia, Singapore and Thailand are the first three jurisdictions to sign the MOU
Securities Company Granted an Exemption from Application for Approval of Person to be Major Shareholder
Approval of Auditors for Offering of Securities that are Debt Instruments issued by Foreign Juristic Person