Following the tips from various sources to SEC, there have been solicitations for investment in securities and/or product that may be liable to be digital asset (called by many names such as coin
physical asset delivery. The solicitation messages are translated into Thai and other languages. In the case of the Facebook accounts Pimnara Poonsawat and Befaii Suwinya, the public is solicited to send
In recent times, investment management companies are significant and connected to country’s economic system and have been growing continuously. By the end of June 2018, the net asset value
Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading
shareholders. As it is a sizable connected transaction and the acquisition of asset required to be approved by the resolution of shareholders? meeting. BROOK will hold an extraordinary shareholders? meeting on
person or group of persons holds investment units in the amount exceeding the said limit, asset management company will be prohibited from distributing dividend and counting vote in the excess portion. The
) unrated bonds and (2) non-retail mutual funds that invest in unrated or non-investment grade debt instruments without limit on the investment proportion. The resolutions aim to provide those seeking to
high risk investment policies. Asset management company providing employee?s choice must have their members undergo the suitability test and give appropriate advice for those choosing to invest in high
Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients