exchanges or related persons. In addition, a digital asset exchange has to set the requirement that the digital token issuer who is the exchange itself or related person comply with the white
(IA) business undertakings. In this regard, Thai business operators have to inform the SEC of the names of such foreign personnel in advance and determine the term for their provision of advisory
Microsoft Word - ACC-LT022_E_MDA-Y'1Y (provision) (RW).docx WIIK & HOEGLUND PUBLIC COMPANY LIMITED 90 CW Tower A T + 66 (2) 6128600 Business ID 0107538000151 35th Floor
Microsoft Word - ACC-LT022_T_MDA-Y'17 (provision) (RW).docx WIIK & HOEGLUND PUBLIC COMPANY LIMITED 90 CW Tower A T + 66 (2) 6128600 Business ID 0107538000151 35th Floor
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...
provision.To improve the service provision standards, the Association of Securities Companies has drawn up the draft operating guidelines to be observed by its members. Upon the approval of SEC, securities
advice service provision requires that the business operators must provide all five services as follows: (1) exploring and understanding customers; (2) constructing an investment portfolio; (3
foreign investors’ participation in the Thai stock market without being subject to the foreign limit – it is appropriate to amend the regulations related to provision of NVDR transaction services by