, such as, the first-time stock sale for the public or the Initial Public Offering (IPO), the issuing and sale of various types debentures and bonds, the method of fund-raising via crowdfunding, as well
the regulations related to inbound and outbound fund offerings to cover cross-border offerings of funds under the HK-TH MRF scheme as well. In essence, a mutual fund approved for establishment and
positions while his capital market investment consultant status was also suspended, effective from September 6, 2014. Three capital market investment consultants, namely {B}, {C} and {D} as well as a
employee of Ausiris Futures Co., Ltd. {A} and four employees of KGI Securities (Thailand) PLC {B}, {C}, {D}, and {E}, effectively from August 17, 2012, as well as revealing inappropriate actions of {F} and
advisors as well as knowledge enhancement of securities firms and investor contacts regarding product features and clients? risk profiles. Meanwhile, the SEC is promoting investor education to help investors
model and creating anti-corruption culture for Thai private sector.Meanwhile, the SEC has encouraged listed companies to be aware and well-rounded of business risks, particularly risk of cyber-attacks, to
knowledge in investment products among investors while urged intermediaries to be well-prepared. AIs will have more investment choices in more complicated and risky investment products denominated foreign
Bee filed a cancellation notice to his broker, Globlex Securities Co., Ltd., in order to void the purchase transactions has no effect on the Sub-Committee?s opinion as well because the purchases of EIC
Bangkok, July 17, 2013 - The SEC revoked approval as well as disclosed inappropriate behavior of {A}, a capital market investment consultant of Kasikorn Securities Plc. Following the report from