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...
capital management under Clause 1 means mobilizing of funds from institutional investors specifically for the purpose of setting up a venture capital juristic person, applying for registration of such
Ministerial Regulations as follows: Clause 1 Person eligible to apply for license to undertake securities business in the category of inter - dealer brokerage shall- (1) not have shareholder or controlling
to be done by provisions of law, the Finance Minister prescribes the Ministerial Regulations as follows: Clause 1 Person eligible to apply for license to undertake securities business in the category
Constitution of the Kingdom of Thailand allowed to be done by virtue of provisions of law, Finance Minister issues Ministerial Regulation as follows: Clause 1 Person eligible to apply for securities business
person shall establish limited company or public limited company to undertake securities finance business. The company so established shall have formation of shareholders and their proportion of
recommendation. Clause 4 Once the Minister has granted his approval under Clause 3, approved person shall establish limited company or public limited company to undertake securities finance business. The company
provisions of law, Finance Minister issues Ministerial Regulation as follows: Clause 1 Person eligible to apply for securities business license in the category of venture capital management under this