Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of
worth investors, investment units of mutual funds investing in derivatives, hybrid products, structured notes and derivatives. *** Since the approval period as investment consultant for complex
therefore imposed the following sanctions: (1) Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15
Application for Approval and Granting of Approval for Offering of Newly Issued Shares
Rules on Application for Approval and Granting of Approval to Undertake Trust Business
Bangkok, February 25, 2014 ? The SEC Board approved private equity (PE) structured as trust or ?PE trust? to promote PE development, increase more fund raising channels for businesses and encourage
Bangkok, February 19, 2015 ? The SEC lifts up mutual fund rules to allow investment in derivatives and structured notes (SN) in line with international standards.Vorapol Socatiyanurak, SEC Secretary
Approval for Undertaking of Derivatives Business (No. 2)
Approval for Undertaking of Derivatives Business (No. 3)
The Approval of Personnel in the Capital Market Business