Capital Market Supervisory Board.* The SEC has therefore imposed administrative sanctions with details as follows:   (a)  suspending the approval of {A} as securities investment consultant for two months

the core business of trading services.   SEC Assistant Secretary-General Paralee Sukonthaman said: “Nowadays, growing information on investment products in the capital market makes most investors

mutual fund) Redemption Form without providing services in such capacity, nor did she examine the unit holding report of the customer's fund investment portfolio before the customer's partial unit

Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on

banned from performing duties as a branch manager for any business related to capital market. Both cases took effect on 30 May 2017. In the case of (3), {C} advised a client to invest in a trigger fund

redeemed the investment units of Bualuang Long-Term Equity Fund (B-LTF) as suggested by the bank's officers The redemption was in breach of a condition on investment unit holding period of at least 5

Information. In addition, CIS portfolio investment must be comparable to that of mutual fund and CIS operator must appoint contact person in Thailand.Moving towards the age of borderless markets under ASEAN

through fund managers. The proposed amendments also aimed to provide greater flexibility in investment management for asset management companies. The SEC held a public hearing on the proposed principles

lands to securities. In this regard, in January 2024, the SEC Board and the Capital Market Supervisory Board (CMSB) approved in principle the issuance of regulations to facilitate the use of an investment

found that the aforesaid investment consultants proceeded with the redemption of long-term equity fund (LTF) units for clients in breach of the conditions for receiving tax benefits despite warnings