Bangkok, October 8, 2014 - The SEC imposed a three-month suspension on {A}, a securities investment consultant of Siam Commercial Bank PLC., for signing the buy/sell order form of investment units
units of long-term equity fund (LTF) bought in 2013 in order to invest in another fund. After reviewing the LTF investment account of such client, {A} informed the client that selling LTF investment units
Commission No. KorNor. 24/2553 Re: Units of Foreign ETF deemed as Securities not Subject to Provisions on Public Offering of Securities By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 as
Office of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551
of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551 (2008
Notification of the Capital Market Supervisory Board No. TorThor. 7/2557 Re: Rules, Conditions and Procedures for Selling, Repurchasing and Redeeming Units of Foreign Collective Investment Scheme
units and new investments. However, transfers of LTF units can only proceed once the registration of each Thai ESGX has been completed.” Investors can learn more about Thai ESGX by reviewing the fund
) Approved the acquisition of assets by approving the following related transactions: Approved the Company and/or subsidiary companies to subscribe for Trust’s units that are offered by the Trust (the