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...
particular person or persons. The revised rules are expected to become effective by August this year. Rapee Sucharitakul, SEC Secretary-General said that recently equity private placement deals of listed
particular person to reduce inappropriate PP offering. The SEC is proposing to amend the PP offering regulations to further enhance efficiency of such offering and maintain sufficient investor protection
assignment [of such particular person]. If such person is ranked below “the first four executive succeeding the manager [and every person holding the position equivalent to the fourth rank]" in more than one
case where it is private fund in the category of provident fund; (Translation) - 9 - In the case of person in (b) and (c), such person shall be deemed as related person particular in the part of taking
(1999) which contains a particular provision relating to the restriction of rights and liberties of the person, while Section 29 along with Section 35, Section 36, Section 45, Section 48 and Section 50 of
person particular in the part of taking duty in private fund management company in such provision; 3. In case of transaction for property fund, beside as provided in (1), person as following is related
lower than departmental manager", the company shall consider from the responsibilities and duties prescribed in the assignment [of such particular person]. If such person is ranked below “the first four