Bangkok, January 18, 2012 ? The Capital Market Supervisory Board has resolved to revise the rules on custody of client assets by securities companies and derivatives brokers ("the companies") to
DAOL INVESTMENT MANAGEMENT COMPANY LIMITED|Feeder Fund | Offering Date : 20/07/2022 - 09/08/2022
alternative assets such as gold mutual funds and investment in derivatives other than hedging purpose, management companies may choose to control the permissible investment proportion at individual level. In
for making their own trading decision to prevent embezzlement and misappropriation of their assets. Importantly, investment consultant must perform the duty honestly, adhere to professional standards
, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment
Bangkok, December 24, 2013 - The SEC will not consider an application for approval as capital market personnel in case of {A}, a former securities investment consultant of Thanachart Securities Plc
Bangkok, October 1, 2012 - The SEC imposed administrative sanctions on seven investment consultants/analysts by revoking approval of {A}, suspending {B} of Bualuang Securities PLC, {C} of Kasikorn
Bangkok, October 7, 2013 - The SEC sanctioned two executives and six investment consultants of Country Group Securities Plc., in relation to trading shares of Angpao Assets Plc. (PAO). The sanctions
interests of RS shareholders or the investment decision making of investors are likely to be affected. Therefore, by virtue of Section 58 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), the SEC has
SEC is of the opinion that the above matters will affect the rights and interests of GIFT shareholders or the investment decision making of investors and therefore, by virtue of Section 58 of the