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...
firms and the audit work quality of listed companies.Senior Assistant Secretary-General Prakid Punyashthiti said: ?The overall results of the second-cycle inspection show continued improvement in the work
) after reviewing the details 4. Click Send Red frame 3434 Show the name of the acquirer or disposer (ordinary person) Show the name of the acquirer or disposer (juristic person) 3535 Completed 3636 Online
legal entity; (4) Being able to show that person who is director, manager or person with managerial authority being responsible for the applicant’s undertaking of derivatives business has qualifications
undertaking of such legal entity; (4) Being able to show that person who is director, manager or person with managerial authority being responsible for the applicant’s undertaking of derivatives business has
case the application is submitted by an authorized person and the evidentiary documentation is incorrect or incomplete, the authorized person must show a written authorization from the applicant to sign
aside reserve capital in compliance with law establishing such legal entity or law controlling business undertaking of such legal entity; (4) being able to show that person who is or will be director