In recent times, investors are seeking high profits by investing in assets, which are deemed to yield more returns than deposits. However, such high returns also come with greater risks

SEC has proposed additional risk management tools that asset management companies are able to select and use when dealing with events or factors causing investors to panic-sell or redeem their

Following the complaints from investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units

The SEC’s instruction followed the latest developments within IFEC organization, namely the resolution of IFEC Extraordinary Shareholders’ Meeting No. 1/2561, appointing new directors to fill in the

intermediaries such as financial advisor, underwriter and bondholders’ representative. These intermediaries may be related to the issuer and the offeror in such a way that may have an impact on their duty

While all securities companies were required to have paid-up registered capital at the same amount of 100 million baht, the new rules require that applicants and licensees of all types of

) Investors, and (5) Filing of Reports and Applications. There are also shortcuts to frequently searched information. In addition, the new website improves the public hearing channel by offering easier access

Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with

assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth

SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of