The Securities and Exchange Commission (SEC), led by Mrs. Pornanong Budsaratragoon, Secretary-General, and SEC executives, held a meeting with the Association of Investment Management Companies (AIMC
planning whereby securities brokers and derivatives agents would be allowed to offer services on asset allocation and investment planning in the forms of program trading and portfolio advisory with
Bangkok, March 31, 2014 - The SEC suspended {A}, a previous capital market investment consultant of DBS Vickers Securities (Thailand) Company Ltd., for trading securities on behalf of
investment advice service. Tipsuda Thavaramara, SEC Deputy Secretary-General said that capital market regulators around the world are now embracing technological advancement to enhance efficiency and
Information. In addition, CIS portfolio investment must be comparable to that of mutual fund and CIS operator must appoint contact person in Thailand.Moving towards the age of borderless markets under ASEAN
-account of a Thai intermediary’s omnibus account only. Moreover, investors may also transfer their investment portfolio from one Thai business operator to another Thai business operator and may transfer
Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients
Investment Officers, portfolio managers, risk managers, strategists, financial analysts and financial advisors. For those who are interested in attending the Conference, please visit and register at
mutual fund) Redemption Form without providing services in such capacity, nor did she examine the unit holding report of the customer's fund investment portfolio before the customer's partial unit