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...
operation and also the terms and conditions are satisfied. Detail of related person and conflict of interest - Name of related person: Kinpo Electronics, Inc. - Relationship: Kinpo Electronics, Inc. holds
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
been approved to establish or registered or person responsible for undertaking of foreign collective investment scheme (CIS operator) is under the supervision of such agency. Clause 2. This Notification
accounted to 0.47% of NTA during the past six-month periods. Note: Exchange Rate USD/Baht = 32.0247 RMB/Baht = 4.9992 Details of related person of the Company and/or its subsidiary with Kinpo Electronics Inc
211,339,934.36 which is accounted to 1.15% of NTA during the past six-month periods. Note: Exchange Rate USD/Baht = 31.4627 RMB/Baht = 4.9759 Details of related person of the Company and/or its subsidiary with