The prevention and management of conflicts of interests in investment management businesses are one of SEC’s important strategies because the business structure in Thailand is financial conglomeration, which is hard to avoid making transaction with relevant parties such as, the sales of securities via affiliated securities companies and any instruments issued or distributed by commercial banks as parent companies.Therefore, SEC has revised such regulations and guidelines for the investment...
The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies because business structure in Thailand is characteristic of financial business operation, which is hard to avoid making transaction with relevant people such as, the sales of securities via affiliated securities companies and any instruments issued or on sale by commercial banks as parent companies.Therefore, SEC has revised such regulations and guidelines for...
Earlier, the SEC conducted a public hearing on proposed principles and amendments regarding the exemption of the digital asset fund manager license for SCs and AMCs managing MF and PF investments in
. Suphan Sethapanich from as acting as personnel in the capital market business and performing duties as the managing director and the chairman of the Investment Committee for a period of three years and
Rules on Managing Derivatives Investment by Registered Derivatives Investment Management Company
Mr. Nop Satayasai Mr. Nop Satayasai, former managing director of Eastern Wire Plc. (now Capital Engineering Network Plc. (CEN)), conspired with Mr. Suriya Lapvisuthisin to misappropriate Baht 500
Mr. Sanpapol Rattanarungroj Mr. Sanpapol Rattanarungroj , as managing director responsible for the operation of S.E.C. Auto Sales and Services PLC (SECC), failed to supervise SECC to submit the
Mr. Palits Phanpanit Mr. Palits Phanpanit, managing director, responsible for the operation of Yarnapund Public Company Limited (“YNP”), shall be liable for YNP’s failure to prepare and submit the