civil sanctions on Surin. However, he did not agree to comply with civil sanctions determined by the Civil Sanction Committee. SEC, therefore, requests the public prosecutor in writing to file a
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
? pre-determined investment scope.The proposed rules have taken into consideration the public?s and stakeholders? comments and suggestions collected from the hearing on the guiding principles in last
exchange; (4) “executive” means manager or any person determined by home exchange or home regulator as “executive”; (5) “home regulator” means the regulator of capital market where units of foreign ETFs are
a specific offering price determined by the resolution of a shareholders’ meeting pursuant to the TorChor. 72/2558 Notification, where the offering price is not lower than 90 percent of the fair value
). Nevertheless, the issuance and offering of the U-W3 Warrants to BBL and UE constitutes an issuance and offering of warrants to specific investors at a specific offering price determined by the resolution of a
issued shares; (2) a company relating to the intermediary by having control between each other; (3) a company and the intermediary have mutual control by any person. “ control ” means control as determined
issued shares; (2) a company relating to the intermediary by having control between each other; (3) a company and the intermediary have mutual control by any person. “control” means control as determined