investigation revealed that the investment on the bills of exchange (B/E) had been approved by the Investment Committee of Solaris Asset Management Co., Ltd. chaired by Mr. Suphan Sethapanich. According to
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...
the consideration of whether the defendant is guilty is under the DSI’s investigation, the public attorney’s prosecution, and the court’s jurisdiction, respectively.
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
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
Bangkok, December 30, 2010 - The SEC filed an additional criminal complaint with the Department of Special Investigation (DSI) against Ratchasak Susewi, former Chairman and Chief Executive Officer of
by virtue of their positions to purchase shares of Professional Waste Technology (1999) Public Company Limited (PRO). The SEC investigation, following a referral from the Stock Exchange of Thailand
Bangkok, March 11, 2015 - The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against four persons for jointly falsifying documents causing Professional Waste