or registration from the SEC, which is a violation of the Derivatives Act B.E. 2546 (2003), Section 16. The said violation is subject to sanctions under Section 125 of an imprisonment up to three years
2014. Starting from January 1, 2014, provident funds are allowed to invest in derivatives for the purpose of efficient portfolio management (EPM) up to a permissible proportion. The funds were previously
management system must be made and reviewed on a continual basis. ?The SEC and the AIMC have continual cooperation to lift up the standard of Thai investment management business to comply with the
securities firms? accounts were used with intent to build up trustworthiness. The SEC thus warned investors to be cautious and choose services offered by the SEC-approved fund managers working for licensed
the Framework, the application procedures and the review timeline. The handbook can be accessed here. The ACMF was set up in 2004 to promote freer flow of capital and greater connectivity of ASEAN
times within seven months up until this latest case. Laddawan, Orapin and Napas submitted to the SEC the results of the exam taken by Atcmima for their respective approval as investment consultant. The
and Section 86 of the Penal Code, and liable to the penalties under Section 296 of the SEA, i.e., up to two years? imprisonment or a fine twice the amount of the benefits received or should have
instance, fund management may be outsourced up to 20% of AUM of each asset management company and must be clearly disclose in the prospectus. In case of private fund management, consent of the client is
such as games, counseling service, survey and instruction on Mobile App ?start-to-invest?. Those who download Mobile App ?start-to-invest? and show up at the booth will also be given a souvenir. The SEC