Mr. Anupon Sriard During the period of 25 – 31 August 2015, Mr. Anupon Sriard, as a private fund manager, instructed the securities trading accounts of the clients of the private fund to place orders

the customer must place cash or listed securities as initial margin with securities company . However, bonds or investment units are not permitted to be place with securities company as collateral to

CL Fund Management Limited Between August 31, 2021 and December 1, 2022, CL Fund Management Limited ("CL") —at the time of the wrongful act, the company was operating under the name Asia

directly relevant to its core business, for example, preparation of research report, risk management or mutual fund and private fund management which must be in compliance with specified conditions. For

The measures include the Bank of Thailand (BOT)’s permission for financial institutions that have purchased investment units of daily fixed income funds to place such investment units as collateral

Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both

Bangkok, July 24, 2013 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved the amendment to regulations governing establishment and management of

/reverse repo transaction as a tool for managing liquidity and generate benefits from the securities in possession. In this regard, however, securities companies have to put in place efficient control and

responsible financial management, proper financial values, and avoids unnecessary debt. These practices are expected to create a ripple effect of positive financial habits within educational communities.This

Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and the Management Team held a meeting with Mr. Renaud Meyer, Resident Representative UNDP Thailand, and Ms. Irina Goryunova, Deputy Resident