Bangkok, 9 October 2017 ? The SEC and the Legal Execution Department (LED) have signed two memoranda of agreement (MOA) for mutual cooperation and information sharing, at the SEC Building today.The

On December 28, 2018, SEC together with the Legal Execution Department and the Department of Legal Execution, Office of the Attorney General, signed a Memorandum of Understanding for the benefit of

PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED| | Offering Date : 16/06/2009 - 26/06/2009

MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED| | Offering Date : 25/06/2009 - 02/07/2009

ONE ASSET MANAGEMENT LIMITED| | Offering Date : 22/07/2014 - 31/07/2014

Establishment of Mutual Funds and Execution of Agreements for Private Fund Management (No. 15)

, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are

and derivatives before the execution of Mr. Komen’s order for the mutual fund was completed. This case is in the process of inquiry by the inquiry official. SEC Act S.244/2 in conjunction with 244/1

for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the clients’ execution of transactions closely. While reviewing and revising

clients’ execution of transactions closely. While reviewing and revising the clients’ information under Paragraph 1(3) is in process, the intermediary shall provide services to the clients with regard to