The SEC proposes to revise the IA refresher course regulations to enhance their knowledge review criteria to be more appropriate and serve the needs of their roles and responsibilities. A previous

opening an investment account cross the industry, to be applicable for all types of investment products.* The draft regulations take into account the comments and suggestions gathered from the previous

approximately 1 million baht per year. This public consultation takes into account the comments and suggestions gathered from the previous hearings in August and September this year – the majority of which were

the private sector to undergo such process.The drafting process of the said rules has taken into account the comments and recommendations gathered from the previous hearing conducted in April on the

suggestions of the private sector and stakeholders who took part in the previous hearing on the governing prinicples.Key points of revision include (1) permission for mutual funds offered for sale to

9,975 or a 6.4 percent increase, and fund members to 2.1 million or a 7.3 percent rise, from the previous year.   Meanwhile, the number of PVDs with multiple investment policies (master fund) rose to 75

Bangkok, March 31, 2014 - The SEC suspended {A}, a previous capital market investment consultant of DBS Vickers Securities (Thailand) Company Ltd., for trading securities on behalf of

million baht of net profit in Q4/2009, it posted 59.77 million baht or 270.21 percent decrease. The information was significantly different from the company's previous records showing profit in every

million baht decrease in IT net profit in 2012 from the previous year; accounting for 59.77 percent. It was the lowest net profit in the past nine years since 2004 and the announcement of no interim

operating net loss of 1,179.10 million baht in comparison with the net loss of 30.80 million baht in the previous quarter.The aforesaid action was deemed as taking advantage over the others by using inside