Nowadays, private fund operators are required to separate investors’ assets from the companies and there are measures to protect investors’ assets for other benefits. Private fund operators also
Bangkok, 7 February 2023 – The Office of the Securities and Exchange Commission (SEC) is inviting applicants for the position of Secretary-General, which will become vacant on 1 May 2023. The SEC Board will consider and select applicants deemed suitable for nomination as the Secretary-General, taking into account their knowledge, experience, capital market expertise, and personal qualities.The ideal candidates should also have other useful experiences for performing the Secretary-General r...
persons are: (1) {A}, (2) {B}, (3) {C}, (4) {D}, and (5) {E}. The SEC has also banned the persons in (2) - (4) from performing duties as a branch manager in a business related to capital market. All of the
Bangkok June 20, 2011 - The SEC prohibits {A} and {B}, former investor contacts from serving as personnel in the capital market from June 18, 2011 onwards, for their failure to comply with standards
Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the
transfer of proceeds from PVD to Retirement Mutual Fund (RMF) in preparation for the amendment to law on provident fund. The proposal aims to provide PVD members unable or not intending to maintain their
statements, certain information appeared in the interview was different from that disclosed in the registration statement (filing form). The differences include the information on gross profit indicated at 10
Facebook page "Organic From Farm to OKJ." impersonates "Pluk Phak Praw Rak Mae Plc." : Unlicensed securities and derivatives business (Disclosure Date : 26/02/2025)
Facebook Page "Investment Lessons from Stock Prices" impersonates "MR. D.I.Y. Holding (Thailand) Plc." : Unlicensed securities and derivatives business (Disclosure Date : 28/01/2025)