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...
(1) the changing IT usage in business practices, (2) the increasingly sophisticated technical approaches and mechanisms of cyber threats, (3) the revisions to preventive measures for addressing
, at the purchase price of Baht 375,000; 2 The total purchase price amounts to Baht 5,375,000. It was further resolved in the Meeting that the managing director and/or the person to be authorized by the
exemption or light-touch track for offers made to sophisticated investors or private placements. However, the SEC proposes that ICO for “investment participation” be initially allowed for institutional
person to be authorized by the managing director shall be the authorized person to act on behalf of the Company to negotiate, enter into an agreement, execute a share sale and purchase agreement, including
on their behalf by those agents. As sophisticated investors with influence, often including voting rights, institutional https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN%20Institutional
Securities Company Granted an Exemption from Application for Approval of Person to be Major Shareholder
Approval of Auditors for Offering of Securities that are Debt Instruments issued by Foreign Juristic Person