, corporate social responsibility and qualifications of employees in charge of corporate governance.  The proposed revision  would help investors and other stakeholders to gain a greater knowledge of the

, corporate social responsibility and qualifications of employees in charge of corporate governance. The proposed revision? would help investors and other stakeholders to gain a greater knowledge of the

, corporate social responsibility and qualifications of employees in charge of corporate governance. The proposed revision would help investors and other stakeholders to gain a greater knowledge of the

Bangkok, April 25, 2012 ? The SEC is seeking public comment on proposed revision concerning proportion of investment unit holding in mutual fund for general investors (retail fund). The revision is

Bangkok, July 15, 2013 ? The SEC is seeking public comment on draft amendments to the rules governing counting unitholders? votes in case of multi-class funds, including retail funds, property funds, and infrastructure funds.  The proposed issues concern seeking the unitholders? resolution that either impacts all classes or a particular class of investment units; counting votes of persons or group of persons; and revising definition of the same group of persons to include controlling persons. Th...

Bangkok, February 13, 2013 ? The SEC is seeking public comment on draft amendments to the rules governing the proportion of investment unit holdings in mutual funds for general investors (retail

responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board

, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard

investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has

Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly wit...