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...
on derivatives or law on trust for transaction in the capital market; (3) “alleged person” means person against whom the SEC Office, based on its findings, preliminarily considers that [such person
following the date of its publication in the Government Gazette. SECTION 3 In this Act: “trust” means legal relationship arising from a trust instrument. “trust instrument” means a contract whereby a person
” means a contract whereby a person, called a settlor, transfers or creates real right or any right appertaining to property to or for another person, called a trustee, with trust and confidence in order
file a motion with the court for the appointment of the new trustee. If the new trustee cannot be appointed by the court, the court shall terminate the trust and appoint any person to manage the trust
special local government organization; (3) unit or organization of foreign government, international organization and juristic person under law of foreign jurisdiction; * This second draft of English
agent; (3) a mutual fund supervisor; (4) a private fund custodian; (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
supervisor; (4) a private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person