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...
. • Consider investments in which the features, fees and risks can be explained by the individual. • Set investment objectives for each investment. • Reassess the individual’s risk tolerance level when factors
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual (No. 2)
individual’s family are those that may be expected to influence, or be influenced by, that person in their dealings with the issuer. An associate is an unconsolidated enterprise in which the issuer has a
a money borrowing; “connected person” means any individual or juristic person having one of the following relationships with the director, executive, major shareholder or controlling person of a
gain and realized loss of the previous month 𝑖’s are the individual’s fixed effects 𝛾𝑡’s are time dummies 𝜀𝑖’s are error terms SEC Classification : ใชภ้ายใน (Internal) Results – Overall 18
an appropriate person as the chairman and ensure that the board composition serves the best interest of the company, enabling the board to make its decisions as a result of exercising independent