SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by
Bangkok, July 23, 2015 ? The SEC warned investors of scams involving money transfer into the securities firms? accounts by offering wealth management services with high rate of returns and other
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 Chantanayingyong, SEC Deputy Secretary-General said that ?Previously, expected timing of the SEC approval for securities offering or fund establishment as well as projected profits of listed companies resulted from the fund establishment have been covered by the media. It is therefore important to clarify that app...
The SEC monitors and observes events and exhibitions featuring booth setups related to investment advice and service solicitation. Recently, the SEC has been alerted by the public and relevant
investment. It must provide an appropriate warning to ensure investors are alerted to potential risks. The marketing campaigns must not induce or accelerate investment decision making with a lack of
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a
financial institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] o Reviewing and modify updatable by having a risk