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...
, inappropriateness, or deficiencies in performing the duties. FAs may resort to information from a specialist, having verified that the person is truly knowledgeable and competent in that field. FAs shall have a
; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of
Reporting Person : - | Type of securities : - | Date of reporting obligation : 30/08/2006
Reporting Person : - | Type of securities : - | Date of reporting obligation : 23/07/2007
Reporting Person : - | Type of securities : - | Date of reporting obligation : 11/09/2008
Reporting Person : - | Type of securities : - | Date of reporting obligation : 30/09/2009