(such as fixed income funds, money market funds, and equity funds), certain specific features, and special characteristics of funds (such as feeder funds and fund of funds). 3. Investment policy and
regarding fund labeling (such as fixed income funds, money market funds, and equity funds), certain specific features, and special characteristics of funds (such as feeder funds and fund of funds). 3
opportunity for new comers to perform technical analysis function in the capital market. The approval term will last two years, providing that the technical analysts will be required to pass certain
Bangkok, March 27, 2014 - The SEC suspended {A}, a former capital market investment consultant of UOB Kay Hian Securities (Thailand) Plc, and {B}, a capital market investment consultant of Krungsri
client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint
Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
. Rapee Sucharitakul, SEC Secretary-General revealed that the Capital Market Supervisory Board approved the revision of regulations to govern qualifications of non-listed company issuers proposing
Bangkok, May 11, 2012 - Following news relating to the SEC?s criminal complaints recently filed against certain persons that raised question whether the complaints would impact those persons
Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from