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...
compromising appropriate investor protection and convenience for business operation.The SEC therefore proposes to amend the regulations related to granting of approval to appraisal companies and lead
professional principle. “appraisal company in capital market” means a juristic person having normal business purpose to value any asset and wish to contribute appraisal services for capital market transaction
the said asset; 2. when the acquisition or disposal of asset is a transaction with the trust manager’s related person, the appraisal shall be conducted by at least 2 appraisers; (b) every 3 years from
rules: (1) for the infrastructure asset under Clause 1(3) (a)(b)(c) or (d): (a) the appraiser shall be a juristic person with experience or expertise in appraisal of infrastructure assets; 7 Amended by
) or (d): (a) the appraiser shall be a juristic person with experience or expertise in appraisal of infrastructure assets; (b) the appraisal is conducted in full where the instruments of rights have been