) unrated bonds and (2) non-retail mutual funds that invest in unrated or non-investment grade debt instruments without limit on the investment proportion. The resolutions aim to provide those seeking to

Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives

Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing

Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on

Bangkok, 11 September 2017 - The SEC has suspended the approval of five securities investment consultants for failing to perform duties in compliance with professional standards. The suspended

of investment in Day Poets Co., Ltd (A day). On 27 March 2017, POLAR disclosed information through the Stock Exchange of Thailand (SET) concerning four issues as follows: (1) refusal to hold an EGM as

enables employees to choose their own investment policies. To ensure the objective of provident fund for retirement savings, the SEC is revising employee?s choice regulations to provide the funds and its

Bangkok, 20 October 2016 ? The SEC is seeking public comments on the draft rules governing provision of investment services on capital market products denominated in foreign currency to promote a

Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients

The SEC meeting 1/2540 dated January 9, 1997 resolved to approve criteria on the establishment and management of property fund offering investment units for sale to the public. The Office completed