According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a
measurement of its investment in Pace Project One Co., Ltd. (Pace One) and Pace Project Three Co., Ltd. (Pace Three), from 15 January 2018 to 31 January 2018. Initially, the SEC instructed PACE to clarify the
The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies because business structure in Thailand is characteristic of
have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment
the auditors, it is deemed to be applicable to property fund, infrastructure fund, real estate investment trusts and infrastructure trusts as well.
At present, money market funds are used by investors as a tool to manage liquidity and a place to park money for a short time, besides keeping it in banking accounts. As of February 2018, the size of money market funds was 240 billion baht, or 3% of savings deposit. In the future the Deposit Protection Agency would reduce the maximum insured amount of bank deposit to only 1 million baht. Hence, money market funds are likely to grow in size and emerge as an alternative for people looking for the...
investors better. Key changes in the amendment include:- Expanding the payment amount of redeemed investment units on the unit trading day- Allowing asset management companies to fix the fund’s constant net
SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with the securities business operators. The proposed guidelines and this public hearing will be presented to securities business operators who plan to apply fintech in the capital markets must comply as follows: (1) Implement a policy on fintech application at board or executives level ; (2) ...
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมกับองค์การสหประชาชาติ (UN) Principles for Responsible Investment (PRI) และ Asia Investor Group on Climate Change (AIGCC) ร่วมจัดงาน