Trading (section 98(7)) Other Business Undertaken by Securities Companies (section 98(8)) Advertising (section 98(10)) Acting as Securities Company Agents (section 100) Loans to Customers (section 102
Qualified Persons Acting As Fund Supervisors of Mutual Funds (No. 2). *** Ultra-High Net Worth (UHNW) Investor Funds refer to (1) mutual funds for institutional investors or ultra-high net worth investors
false statements in the registration statements, and acting in the manner that dishonestly deceives others, released on 6 July 2023: https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10553&NewsNo=116
further engage on the Principles for Responsible Investment (PRI) as well as the Sustainable Development Goals (SDGs).Mr. Thawatchai Pittayasophon, Deputy Secretary-General, Acting Secretary-General
Mr. Thawatchai Pittayasophon, SEC Deputy Secretary-General, Acting Secretary-General said “The SEC initiated the DIF project near the end of 2019, with support from the CMDF. The project was
inappropriateness for acting as capital market business personnel. Investors intending to subscribe for investment units of mutual funds are strongly advised to always verify transaction confirmation documents to
other past behaviors demonstrating inappropriateness for acting as capital market business personnel. Investors are strongly advised to always verify transaction confirmation documents to make sure
as IFEC chairman, was named in the SEC's another criminal complaint filed with the ECSD on the ground of acting dishonestly to seek unfair benefits for himself or other persons by using a wrongful