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...
Establishment and Management of Property Funds; “paid up capital” means the total value of the units which are paid in full. “REIT manager” means a person who performs the duty as REIT manager in accordance with
. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the general public as being ready to engage as an agent in the business of trading in derivatives
Under the amendments, SEC has proposed to lift the limitations on unitholding which bar any person or any associated person from holding investment units in a mutual fund over one third of the
compensation due to purchasing securities related to information from the person who filed a false registration statement and prospectus shall have a limitation period of one year from the date on which the fact
company where noncompliance with limitation on unitholding has been found. (an exception case shall be specified). 4. Procedures for holding investment units over One-Third Limit Where any person or