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...
Under the amendments, SEC has proposed to lift the limitations on unitholding which bar any person or any associated person from holding investment units in a mutual fund over one third of the
interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account
funds are a tool used as a systematic and long-term saving to prepare for a life after retirement no matter how much the income person would have after retirement, daily expenses and health care
: ................................................................................................................................................ Through the Representative(s) of the juristic person / non-juristic group of persons as follows: (1
Infrastructure Trust Regulatory Summary Related Rules/Regulations Related Forms A trustee is a person acquiring a transfer of right over a property from a trust manager to manage the property for the
business operators who have expertise in the investment products of interest, the services in which Thai business operators also have responsibilities to oversee the appropriateness of foreign business