incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working
information for investment decision making such as condition of non- guaranteed by the Ministry of Finance, source of fund for debt repayment and business nature for risk assessment. Like private issuers
net profit by 59.24 percent which was certainly material to investors' investment decision and may cause damage to investors;2. In addition, before filing the clarification on the above mentioned
presented the study on Thai equity fund performance and information of which investors should learn prior to making decision to invest in funds. The Forum was hosted under the Memorandum of Understanding
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and
and Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 26/2545 Re: Determination of Paid-Up Registered Capital of Securities Companies Licensed to Undertake
. 26/2545 Re: Determination of Paid-Up Registered Capital of Securities Companies Licensed to Undertake Securities Business in the Category of Mutual Fund Management _____________ By virtue of Section 14