operation can be given to the SEC for further appropriate action via Hotline 1207. Information contained in this news release is as of the aforementioned release date. For those who wish to see current status
court will judge the case, respectively.Information contained in this news release is as of the aforementioned release date. For those who wish to see current status of the matter, please go to compliant
this juncture, the SEC has also urged the ASCO to propose the guidelines for securities transfer between clients with a view to preventing fraud or inappropriate acts.
exploitation of this channel for the benefits of certain person or group of persons.Mr. Vorapol Socatiyanurak, SEC Secretary-General, said ?In establishing a retail fund, its investment units should be dispersed
, 2012. In this regard, the SEC suspended her from duty as an approved capital market investment consultant for a period of five months. Taking into account that she has already been suspended for two
with the guideline. In this regard, advertisements launched by certain asset management companies and considered as compliance with the guideline have been chosen as examples for others,? said Deputy
Investment and Giving Investment Advice dated January 18, 2012. In this regard, the SEC suspended {A} for six months. Taking into account that she has already been suspended by her employer for one month and
Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. In this regard, the SEC revealed her inappropriate behavior and recorded such demerits for
capital market. This is to allow existing business operators, apart from securities companies, financial institutions, or newly established companies as specified in the current ministerial regulation, to
Funds?. In this regard, calculation of investment ratio in infrastructure fund will exclude investment proportion in equity and debt instruments due to the difference of its risk and return