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...
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person concurrently offers units for sale and conducts debt financing through an offer for sale of newly issued debentures (concurrent offering), the following rules shall apply: (1) the approved person
, at the total amount not less than 20 percent of the principal value as of the issuance dates of the bonds. The partial principals will be paid through three installments in concurrent with the due
in a new property may be proposed for the unitholders? consideration in concurrent with the proposal for approval of fund conversion. In addition, a property fund would be allowed to issue remedy
Trusts; “foreign entity” means the following entities established under foreign laws: (1) agency or organization of a foreign government; (2) international organization; (3) foreign juristic person
fund or private fund management, or derivatives investment management company. “fund” means mutual fund and private fund. “investor” means any person interested in investing in capital market products
category of mutual fund or private fund management, or derivatives investment management company; “ fund ” means mutual fund and private fund; “ investor ” means any person interested in investing in capital