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...
The spread of COVID-19 pandemic since March 2020 has resulted in severe volatility in debt and equity markets around the world, and consequently stimulated investment outflows from mutual funds and affected the stability of the global financial system. Due to this circumstance, international regulators have decided to issue liquidity measures.Realizing the importance of liquidity risk management process of mutual funds, the SEC encourages asset management companies to strengthen the effic...
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
capital market as specified in Paragraph 1(1) of Clause 3; (2) the approved person fails to maintain the qualifications specified in Paragraph 1 of Clause 3; (3) the approved person fails to comply with the
Clause 3; (2) the approved person fails to maintain the qualifications specified in Paragraph 1 of Clause 3; (3) the approved person fails to comply with the provisions in Clause 4 and Clause 5 or Clause 6
registered person shall maintain qualifications as prescribed under Clause 2 and in cases where such qualifications cannot be maintained, such registered person shall notify the Office in writing and provide
person shall maintain qualifications as prescribed under Clause 2 and in cases where such qualifications cannot be maintained, such registered person shall notify the Office in writing and provide the