Bangkok, December 21, 2011 - The SEC Board agreed in principle to allow offer for sale of foreign Collective Investment Scheme ("CIS") to non-retail investor in Thailand in accordance with the 2010
example, shares, debt securities, mutual funds and derivatives, and can use the single form or the information provided therein to open new investment accounts with other service providers.” The
continue to monitor and update news and information of the invested shares through the Electronic Information System of the Stock Exchange, the issuer's annual report or newspapers. Shareholders should also
loss. Moreover, {A} advised the client to wait for a quota of IPO shares and expect such shares to compensate for the loss incurred in the client’s derivatives trading account. {A}’s behaviors above were
Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's
Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's
-collateral NPL portfolio at the purchase price of 40.16 million baht, (2) issue capital shares via private placement (PP) to shareholders and management of such portfolio seller, and (3) accept other
) 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
trading while the client did not reject the transactions. Besides, intra-day trading orders of a listed company's shares were found where the buying prices were higher than the selling ones, causing the
investment consultants: revoking approval of Auracha Vachirakulthon as securities investment consultant for 10 years, starting from December 22, 2015, and suspending approval of {B} and {C} as capital market