Bangkok, December 23, 2013 - The SEC suspended three financial advisor supervisors, namely {A}, then an employee of {X1} Co., Ltd., {B} of {X1} Co, Ltd., and {C} of {X2} Plc. The suspension resulted
-related risk information, to investors and stakeholders via the 56-1 One Report. The SEC has published the Guidelines as a manual that asset managers who manage mutual funds, private funds and provident
. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for
Collective Investment Schemes (CIS) Framework. The Framework enables fund managers operating in one jurisdiction to offer funds constituted and approved in that jurisdiction to retail investors in the other
Bangkok, July 18, 2013 ?The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against (1) Maris Tarab, former managing director of ING Funds (Thailand) Co., Ltd. (ING Funds) and former fund manager of T.U. Dome Residential Complex Fund (T.U. Dome Fund), (2) Burim Chombhubol, another former T.U. Dome fund manager, (3) Bania Co., Ltd., (Bania) and (4) Suthapa Khemaprueth, managing director of Bania Co., Ltd.Following the routine inspection, the SEC found that T.U....
Offeror : SCG Building Materials Company Limited | Date of submission of the Statement of Intention : 08/03/2010
Offeror : SCG Building Materials Company Limited | Date of submission of the Statement of Intention : 25/03/2010
SEC Office. Work Areas Personal Data Contact Information Qualification data Financial Data Sensitive Data Verification Data 1. Executives, for example, directors/managers of securities companies, asset
Management for Asset Managers ข่าว ก.ล.ต รายงานสรุปภาวะตลาดสินทรัพย์ดิจิทัล https://www.sec.or.th/TH/Pages/MarketData/MarketData.aspx English (United States) SecuritiesDerivativesBusiness / Derivatives