The measures include the Bank of Thailand (BOT)’s permission for financial institutions that have purchased investment units of daily fixed income funds to place such investment units as collateral for liquidity support while financial institutions giving assistance to such mutual funds are allowed to use high-quality domestic instruments as collateral for the same purpose.Concurrently, SEC has announced a measure for temporary liquidity management by allowing asset management companies to...
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...
subscribers of such instruments upon compliance with the following criteria: (1) the approved person is confident that the foreign securities are sufficient to accommodate the number of depositary receipts to
investment products within the same asset class. • Use appropriate metrics to compare similar investments. • Evaluate the real rate of return on investment products. • Confident to undertake research on
” means a person who entrusts a securities company to undertake the purchase and sales of securities on his/her behalf; “institutional customer” means a commercial bank or finance company or securities
has created the ESG Product Platform as an empowering tool for investors to access information on sustainable and responsible financial products and make confident decisions on their investments. This
within their markets. This strategic partnership provides a strong foundation to strengthen the bilateral cooperation between our two countries. We are confident that bringing together the expertise of