Bangkok, February 15, 2012 ? The SEC has revoked approval for Maris Tarab and Burim Chombhubol as fund manager and prohibited them from re-entering the industry for 10 years, starting from February 14, 2012. The sanctions followed the SEC findings that the said persons mismanaged T.U. Dome Residential Complex Property Fund (T.U. Dome) severely, causing substantial damage to the fund and the unitholders. Maris and Burim, who were T.U. Dome fund managers during 2006-2009 and 2008-2009 respectivel...
The ASEAN CIS Framework is an initiative under the regional capital markets integration plan endorsed by the ASEAN Finance Ministers in 2009 to facilitate cross-border product access and fund distribution for investors and issuers respectively. The framework enables fund managers operating in a member jurisdiction to offer a CIS constituted and authorised in that jurisdiction to retail investors in other member jurisdictions under a streamlined authorisation process. The Supplemental MoU t...
needed for its business model. This approach could support future entry of all types of securities businesses and increase the number of intermediaries who could render more convenient services to
Line อ้างชื่อ (Broker) Mark : Unlicensed securities and derivatives business (Disclosure Date : 03/03/2025)
บัญชีไลน์ อ้างชื่อ Broker (นุช) : Unlicensed securities and derivatives business (Disclosure Date : 16/01/2024)
Facebook Page อ้างชื่อ Broker Set : Unlicensed securities and derivatives business (Disclosure Date : 12/02/2024)
Facts appeared to the SEC that Zipmex, a licensed digital asset exchange and broker for cryptocurrencies and digital tokens under the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018
Bangkok, March 28, 2012 ? The Bank of Thailand (BOT) has approved the proposal to allow retail investors to invest in derivatives traded on foreign derivatives exchange without limiting investment objective only to risk management. The draft regulations aim to provide investors with more variety of investment alternatives and promote new income channels for securities companies as well as increase experiences in overseas investment. Under the proposed regulations, derivatives brokers must have i...