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...
Exchange Commission (SEC) urges digital asset business operators to give priority to cybersecurity and to assign a responsible person to oversee this matter to ensure continuity of service provision and
receiving a payment for a securities trading for any person; 5. Placing money or other assets as collateral for securities trading of any person; 6. Allowing any person to receive benefits or oversee payment
as collateral for securities trading of any person; (6) allowing any person to receive benefits or oversee payments related to or because of one’s own securities trading; or (7) transferring or
person who is eligible to be EQCRs to possess experience and expertise in the industry to ensure that the EQCRs will have sufficient knowledge, competency, and experience to elevate the audit quality
such instrument to receive money or other benefit. "underwriter" means any person who underwrites the sale of securities to the public. "prospectus" means any document issued for the purpose of inviting
money or other benefit. "underwriter" means any person who underwrites the sale of securities to the public. "prospectus" means any document issued for the purpose of inviting any person to subscribe or