Bangkok, September 24, 2012 ? CFA Institute in cooperation with the SEC and CFA Society Thailand will host an international event ?Thailand Investment Conference? on 5th October, 2012 at Conrad
Bangkok, June 8, 2012 - The SEC publicly disclosed inappropriate behavior of three investment consultants, namely, {A}, {B}, and {C}, for not taping clients' securities and derivatives trading orders
Bangkok, June 8, 2012 ? The SEC has received enquiries about details and conditions of subordinated debentures no.1/2012 to be issued by PTT Exploration and Production Plc. from investors obtaining advertisement from Kasikorn Bank Plc., as this issue of debentures contains more complex conditions than general debentures.In case where the debenture issuer exercises its right to early redemption and to defer interest, the debentures? rate of return will be lower than pre-determined interest rates;...
) 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