principle of widespread distribution to general subscribers without specific allocation to any particular individual (cherry picking), and must not be an arbitrage in evasion of regulatory compliance
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...
March this year.The key changes to the rules include: - To re-define the term, ?patron? as any person who makes contribution to the issuer clearly and continuously, or any person who has a potential to
operators and provide investors with quality, diverse and widespread services; (2) Shareholders? meeting: allowing a shareholders? meeting of a listed company to be held pursuant to the SEC's order and upon
, investment was made primarily in 1.) refinery machinery of THB 1,517 https://market.sec.or.th/public/idisc/Download?FILEID=dat/news/201808/18071178.pdf 6529se.pdf a trust, such person has been sentenced by a
consider exercising power in accordance with the relevant legal frameworks to limit the widespread adoption of digital assets as a means of payment for goods and services. Further regulatory guidelines
cyber risks and internal control systems to prevent and manage risks that may cause widespread damage to business operation and impact on shareholders, stakeholders and the overall capital market. The
from a deceitful, fraudulent or dishonest act that results in widespread damage, either under Thai or foreign laws; (4) being a person subject to a suspicious ground of being arranged for the person with