Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing
Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on
orders, trading securities on behalf of client, and making securities trading decisions for the client's benefit without the client's orders were in violation to the Notifications of Capital Market
Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014. The SEC, therefore, has imposed the suspension of securities investment consultant approval on {A} for 20 days, from
/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. The SEC therefore suspended {A} from his duty as the approved securities investment consultant for 3
-General revealed that the Capital Market Supervisory Board approved to revise investment rules for mutual fund, private fund for retail investors and provident fund to support the funds? investment in
Bangkok, December 21, 2011 - The SEC Board agreed in principle to allow offer for sale of foreign Collective Investment Scheme ("CIS") to non-retail investor in Thailand in accordance with the 2010
as follows: (1) The Notification of the Capital Market Supervisory Board No. Tor Nor. 47/2567 Re: Investment of Funds (No. 29) and Attachment 1, Attachment 2, Attachment 3, Attachment 4-retail MF
2023. Essentially, the regulations as amended by the Capital Market Supervisory Board are as follows: (1) Clarifying the characteristics of an investment company, referring to a company that engages
lands to securities. In this regard, in January 2024, the SEC Board and the Capital Market Supervisory Board (CMSB) approved in principle the issuance of regulations to facilitate the use of an investment