Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three...
records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC
case also involves seeking unlawful gains and consenting to the omission of the B/E transaction records, which caused inaccurate preparation of KC accounting records. The aforesaid four executives are
The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on continued quality development and investor protection reliability of such business operators. This
sectors convenience for issuing debt securities for fund mobilization while putting in place an appropriate mechanism for investor protection as debt securities is indeed an investment choice. Hence, the
SCB ASSET MANAGEMENT COMPANY LIMITED|Capital Protected Fund | Offering Date : 20/06/2023 - 26/06/2023
SCB ASSET MANAGEMENT COMPANY LIMITED|Capital Protected Fund | Offering Date : 02/08/2022 - 08/08/2022
THANACHART FUND MANAGEMENT COMPANY LIMITED|Capital Protected Fund | Offering Date : 29/10/2007 - 05/11/2007