income fund* SEC, Thailand Equity fund Mixed fund Alternative investment fund Country concentration**Foreign investment asset class (TB) **Based on foreign direct investment (unit trust not included
another country, a private placement to institutional investors or high net worth investors, or an offer for sale of debt securities of a foreign entity under the following notifications, the registration
consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
internet banking system to transfer 2,000 baht from a client's account into his own without the client's authorization. {D}'s actions were deemed to be prohibited characteristics of investor contacts in
member country executing the Memorandum of Understanding Concerning Cooperation and Exchange of Information on Cross-border Offers of ASEAN Collective Investment Schemes to Non-retail Investors or the