, with regard to risk management and investors’ protection. The proposed regulatory revision may not be perfect yet, but it’s the start for businesses to move forward. SEC is willing to learn together

management to general public. Their activities involved advertisement, general solicitation and distribution through website www.sdc.us.com.The SEC?s probe revealed that Seandar Inc. and Matthew operated

securities businesses of brokerage, investment advisory and private fund management by advertising, soliciting and using website http://www.qg-corp.com.  The said actions were subject to an imprisonment from 2

qualifications*** (except for the qualifications of CIS operators above) in accordance with the specified criteria.   The public consultation is available at the SEC website: https://www.sec.or.th/TH/Pages

Repo service to ordinary persons categorized as institutional investor to proceed in the same manner as with non-institutional investors. For example, securing a risk management system related to

of investment returns, currently Asset Management or REIT manager can disclose the funds’ estimated returns in an accounting period in the prospectus on a voluntary basis. As part of the new

and investment communities duly gave comments.This time, SEC makes eight revised draft notifications in accordance with the proposed principal. Regarding the management of property funds and the

as the related parties, e.g. listed companies, the Association of Thai Securities Companies (ASCO), the Association of Investment Management Companies (AIMC), and the Stock Exchange of Thailand (SET

-up capital of 500 million baht for undertaking the following businesses ? brokerage, dealing and underwriting of securities, investment advisory, mutual fund/private fund management, securities

Bangkok, July 23, 2015 ? The SEC warned investors of scams involving money transfer into the securities firms? accounts by offering wealth management services with high rate of returns and other