law and having main objective in investment management, for example, the Government Pension Fund, Social Security Fund(9) Derivatives business operators/ derivatives business operators operated under
Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients
channel for fund raising and investment in real estate. REIT regulation will be in line with international practices and provide more flexibility in terms of investment and management than property fund
Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014. The SEC, therefore, has imposed the suspension of securities investment consultant approval on {A} for 20 days, from
requested the selling of SCB Open-end Long Term Fund Dividend 70/30 in a portion that met the minimum of 5 year investment. A bank officer who was not an investment consultant processed the selling of
of this facilitator rules, the SEC is also proposing that the Capital Market Product Trading Services with Limited Discretion According to Clients? Pre-determined Investment Scope rules be repealed and
) fund, which is managed by a person who has been named in a complaint filed by a foreign regulator on account of managing investment without approval. If approached with a solicitation to invest in
financial market incidents. Dr. Peng Chen, CFA who serves as Chief Executive Officer, Asia (ex-Japan) for Dimensional Fund Advisors, a world leading investment firm, Deborah A. Fuhr, a prominent ETF expert
and a minimum of 10 million baht in paid-up capital will also be applicable. Meanwhile, annual license fee will be lowered for the all Type D licenses brokering at least 3 types of the investment unit