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...
, transfer of securities ownership , pledge and seize, as well as the closing of the book in order to have information on securities holders, deal with rights and benefits arising from securities such as https
the purpose of law enforcement according to the authority of the three agencies. This includes executing the case with the fined person in a criminal case in order to effectively seize property or
established as a juristic person by law in 1975 prior to the establishment of the SEC. The objective of SET is to operate stock exchange business, having powers to issue various rules and regulations. The
) Implementing Effective Incentives: Effective incentives could encourage both fundraisers and investors to seize better risk-adjusted return from investment, thereby creating the market and stimulating further
with the following provision: “Section 3. In this Royal Enactment, “special purpose juristic person” means a vehicle established for the purpose of securitization and registered as a special purpose