Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly wit...

perform duties or provide services with loyalty by committing wrongdoing against investor assets. Both cases constitute prohibited characteristics for personnel in the capital market business under the

Bangkok, June 16, 2015 ? The SEC is seeking public comment on the draft regulations to be issued under Section 152 of the Derivatives Act B.E. 2546 (2003) on payment of bounty to the informer. Under

Bangkok, November 1, 2012 ? The SEC is seeking public comment on proposed revision of the Provident Fund Act B.E. 2530 to facilitate employee?s continuous savings into provident fund and thus having

KIATNAKIN PHATRA ASSET MANAGEMENT COMPANY LIMITED|Super Savings Fund : SSF | Offering Date : 15/09/2011 - 21/09/2011

During January – March this year, the SEC conducted a public hearing on proposed amendments to the PVD Act to support the development of fund structure, enhance the member protection mechanism

to earn adequate income after retirement. Therefore, the Ministry of Finance has proposed the draft National Pension Fund Act to enable mandatory retirement saving scheme for documented workers, which