personal use, and (3) redeeming investment units in the client’s mutual fund portfolios through the bank’s internet banking and transferring the fund from the unit redemption to her own banking account
Bangkok, May 15, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of RHB OSK Securities (Thailand) Plc. and disclosed inappropriate behavior of {B}, a
sale of newly issued securities to the public (IPO) whereby issuing companies and listed companies would not be allowed to operate business as an investment company to prevent the misuse of the IPO
Bangkok, January 21, 2014 ? The SEC revised rules governing provident fund investment for more clarity and flexibility in line with international standards. The new rules have become effective in
Bangkok, December 9, 2014 - The SEC suspended {A}, a capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for 6 months.After receiving a client's complaint against {A
Bangkok, April 24, 2014 ? The SEC urged investors to make prudent investment decision concerning information on fund establishment and forward-looking on profits of listed firms.Chalee
that may fall under the category of investment company, and to ensure that their operation does not demonstrate the objective of seeking investment returns for investors in a similar manner to operating
The amended rules on approval of ICO portals give the applicants more flexibility and reduce risk on developing/investing in high-cost work systems while the approval process is underway. Pursuant to the amended rules, the approval process is now divided into two steps, namely: (1) examining the qualifications and appropriateness of the required work systems according to the application supporting documents within 90 days from the date of filing the application with SEC, and (2) inspecti...
Bangkok, 16 November 2017 ? The SEC has notified Pace Development Corporation Plc. (PACE) to clarify the assumptions used in the fair value measurement of its investment in Pace Project One Co., Ltd
measurement of its investment in Pace Project One Co., Ltd. (Pace One) and Pace Project Three Co., Ltd. (Pace Three). The deadline is extended to 15 January 2018.Earlier, the SEC instructed PACE to clarify the