new clients during the account opening process. Hence, such information must be accurate, complete, up-to-date, and clearly separated from other information. In case of significant revisions/updates

Earlier, the SEC filed a criminal complaint against the 10 entities with the Department of Special Investigation (DSI) on account of fabricating financial statements, disclosing false information in

the clients’ handwriting, subscription orders and switch orders or unitholders’ account books, causing damage to four clients at the total amount of 10.44 million baht. The SEC has considered that

premises of a service provider, investors should not pay in cash and should transfer the payment directly to the account of the service provider to prevent possible damage from frauds

The SEC supports and promotes sustainable investment on a continued basis, emphasizing the importance of business operation and investment in the Thai capital market that takes into account every

account) ยังคงต้องปฏิบัติตามหลักเกณฑ์ที่เกี่ยวข้องในเรื่องการจำกัดการใช้สิทธิออกเสียงและการแจ้งข้อมูลการถือหน่วยลงทุนที่เกินสัดส่วน เพื่อให้ บลจ. เปิดเผยให้ผู้ถือหน่วยลงทุนทราบ ทั้งนี้ การปรับปรุงหลัก

revocation of her license as a life insurance broker and agent on account of performing duties dishonestly when she failed to forward premium money of 1 million baht she had received from a client to the

Securities and Exchange Act.  On 16 October 2017, the SEC filed a criminal complaint against the GL management with the Department of Special Investigation (DSI) on account of concealed transactions

related party transactions as well as the re-definition of relevant terms to increase clarity and flexibility. In so doing, the SEC refers to international regulatory guidelines and takes into account the

The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that