Bangkok, November 17, 2014 ?The SEC revoked the approval of Nakul Chaiyanil, a former fund manager for ten years for failure to perform his duty with honesty in relation to management of 101 Montri
Securities and Exchange Commission No. Sor Shor. 26/2558 Re: Rules, Conditions, and Procedure for Granting Approval of Trust Managers of Infrastructure Investment Trusts and Operating Standards
period for the applications for approval of the establishment and modification of SRI Funds, submitted during 1 January – 31 December 2024. This short-term measure aims to support asset management
Printable Format - Laws and Regulations Marketing |- Approval and Standards Practice |- Code of Conduct |- Fees |- Related Circular Letter Bond Dealer and Underwriter |- Fees (section 14 and 19
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Commission governing rules, conditions and procedures for approval for private fund manager and private fund management of private fund manager; “Training institute” means Thailand Securities Institute or any
derivatives as follows: Approval for Category A Investor Contact i.e.: Analysis (including technical analysis), Investment, Risk Management. * Having passed a course on relevant businesses knowledge and
related to securities and derivatives as follows: Approval for Category B Investor Contact i.e.: Analysis (including technical analysis), Investment, Risk Management, Investment Advisory, Dealer, Financial
Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC