Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and concealed important information which may have caused misunderstanding or distorting of the facts. As a result, the SEC will not consider her renewal application for nine months.From a client complaint of Globex Securities Co., Ltd., the SEC found from the investigation that {A}, a former capital market...
a selling order for the securities in such account. It was found that prior to the transaction, {A} had learnt of the identity of the securities' beneficial owner who was not the account owner
Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 30. The auditor under Section 28 shall be a certified public auditor approved by the SEC Office and shall not be a shareholder, a beneficial
important opportunity for company executives, management teams, and shareholders to discuss various company matters and address key issues beneficial to the company and shareholders. Mrs. Pornanong
selection will be based on knowledge and expertise in the capital market, other related experiences that will be beneficial to the position as well as good governance and ethical behaviors.Those interested
Board?s selection will be based on knowledge and expertise in the capital market, other related experiences that will be beneficial to the position as well as good governance and ethical behavior.Those
asset management company in determination of IPO period which will allow making of investment for mutual fund prior to closing of IPO. This will be beneficial for investment especially during market
disclosure and being more beneficial to interested persons.The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through