According to the findings of SEC inspection on the operation of SKFM whose main business is private fund management, in 2018 Mr. King, CEO and fund manager of the company at the time, acted in the

without double-checking the correctness of processing and confirming the redemption orders in violation of the tax terms.SEC found the three investment consultants to have failed to perform duties with

, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard

without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam

perform duties or provide services with loyalty by committing wrongdoing against investor assets. Both cases constitute prohibited characteristics for personnel in the capital market business under the

Renaissance Fund Management is a licensee under Type C Securities Business License in addition to the Derivatives Fund Management and Advisory Services Licenses. According to the SEC’s onsite

Management Discussion and Analysis 1 Ref: AC.017/2020 18 May 2020 Subject: Management discussion and analysis of financial position and operating results To: President and Manager The Stock Exchange

Online Fund Approval and Management System (OFAM) ระบบอนุมัติจัดตั้งและจัดการกองทุน Online Fund Approval and Management System (OFAM)   โปรดระบุข้อมูลด้านล่าง (Please fill in information below

Bangkok, April 18, 2014 ? The SEC is seeking further public comment on revision of asset management company?s reporting which was posted for public hearing in late 2013. The revision proposes to

Bangkok, January 12, 2015 ? The SEC supports asset management companies to raise their competitiveness with more distribution channels, new types of mutual funds and join business development in the